RS
Robert D. Sullivan
STIFEL, NICOLAUS & COMPANY
East Harwich, MA 02645
Some features on this profile are disabled
CRD#: 1332934
RS
Professional summary
Robert Douglas Sullivan, who also goes by Bob Sullivan, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in East Harwich, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Sullivan
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. Trump International Doonbeg, Ireland; Suite 42 Doonbeg OT 02668 Ireland; Rental property/vacation home; 11/02/2022; 0.00hrs/year; Not during securities trading hours; Investment-Related 2. Four Owls, LLC; 41 Coventry Lane West Barnstable MA 02668; Income from rental property; Owner; Landlord of rental property; 01/11/2022; 25hrs/year; Not during securities trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Robert Douglas Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Douglas Sullivan'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
August 19, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: Firefly Professional Bldg. 105 Route 137 Unit A, East Harwich, MA, 02645RIA
BD
CRD#: 793
East Harwich, MA
Current
March 4, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: Firefly Professional Bldg. 105 Route 137 Unit A, East Harwich, MA, 02645RIA
BD
CRD#: 793
East Harwich, MA
Past
December 18, 2015 - December 31, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HYANNIS, MA
Past
July 1, 2003 - March 8, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HYANNIS, MA
Past
June 9, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 19, 1994 - June 30, 2000
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
August 18, 1987 - May 17, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 21, 1985 - November 4, 1987
DOUGHERTY DAWKINS LLC
BD
CRD#: 7442
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
Arkansas(8/21/2025)
RR
California(3/4/2022)
RR
Colorado(8/13/2025)
RR
Connecticut(3/4/2022)
RR
Florida(3/4/2022)
RR
Georgia(8/15/2025)
RR
Idaho(8/13/2025)
RR
Illinois(3/17/2022)
RR
Maine(3/27/2025)
RR
Maryland(8/14/2025)
RR
Massachusetts(3/7/2022)
RR
Michigan(8/15/2025)
RR
Nevada(3/4/2022)
RR
New Hampshire(3/4/2022)
RR
New Jersey(3/4/2022)
RR
New Mexico(8/14/2025)
RR
New York(3/4/2022)
RR
North Carolina(3/4/2022)
RR
Rhode Island(3/4/2022)
RR
South Carolina(3/4/2022)
RR
Tennessee(3/4/2022)
RR
Texas(2/2/2024)
IAR
Texas(8/19/2025)
RR
Vermont(3/4/2022)
RR
Virginia(3/8/2022)
RR
Washington(8/13/2025)
RR
Wisconsin(3/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793East Harwich, MA 02645TRUST BUT VERIFY
Monitor Robert Sullivan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
