MF
Malcolm R. Frost
STIFEL, NICOLAUS & COMPANY
Zionsville, IN 46077
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CRD#: 1312220
MF
Professional summary
Malcolm Richardson Frost is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Zionsville, Indiana.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Malcolm has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 3, Series 7, Series 9, Series 10, Series 53, Series 51, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Executor for a NonFamily Estate
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Richardson Frost's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Richardson Frost's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1620 W. Oak Street Suite 101, Zionsville, IN 46077Office #2: 250 West Main Street Suite 530, Lafayette, IN 47901Office #3: 7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804Office #4: 600 East 96th Street, Suite 575, Indianapolis, IN 46240Office #5: 3591 North Briarwood Lane, Muncie, IN 47304Office #6: 8900 Keystone Crossing Suite 300, Indianapolis, IN 46240RIA
BD
CRD#: 793
Zionsville, IN
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1620 W. Oak Street Suite 101, Zionsville, IN 46077Office #2: 250 West Main Street Suite 530, Lafayette, IN 47901Office #3: 7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804Office #4: 600 East 96th Street, Suite 575, Indianapolis, IN 46240Office #5: 3591 North Briarwood Lane, Muncie, IN 47304Office #6: 8900 Keystone Crossing Suite 300, Indianapolis, IN 46240RIA
BD
CRD#: 793
Zionsville, IN
Past
February 15, 2006 - February 28, 2017
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
FORT WAYNE, IN
Past
February 18, 2003 - February 28, 2017
CITY SECURITIES CORPORATION
BD
CRD#: 1459
FORT WAYNE, IN
Past
February 17, 2000 - February 28, 2003
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
INDIANAPOLIS, IN
Past
January 7, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
July 14, 1995 - February 28, 2003
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
December 9, 1987 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
BD
CRD#: 699
INDIANAPOLIS, IN
Past
January 8, 1986 - December 7, 1987
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 26, 1984 - January 21, 1986
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/12/2019)
RR
Arkansas(1/2/2020)
RR
California(2/28/2017)
IAR
California(2/28/2017)
RR
Florida(5/25/2017)
RR
Indiana(2/28/2017)
IAR
Indiana(2/28/2017)
RR
Maryland(1/2/2020)
RR
Massachusetts(10/10/2019)
RR
Missouri(11/5/2021)
RR
Montana(1/2/2020)
RR
Nebraska(1/6/2020)
RR
North Carolina(1/6/2020)
RR
Ohio(5/24/2017)
RR
Pennsylvania(1/2/2020)
RR
Tennessee(7/30/2018)
IAR
Texas(11/4/2020)
RR
Texas(11/5/2020)
RR
Utah(3/18/2019)
RR
Virginia(1/3/2020)
RR
Wisconsin(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
