GB
Gary S. Brochin
STIFEL, NICOLAUS & COMPANY
SARASOTA, FL 34236
Some features on this profile are disabled
CRD#: 1365990
GB
Professional summary
Gary Steven Brochin, who also goes by Gary Brochin, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Sarasota, Florida.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Gary has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 5, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary Brochin
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. The Players CLub in Longboat tKey; 1485 Gulf of Mexico Dr, Longboat Key, FL 34228; Home Owners Association Board; Treasurer and Board Member; Review and manage the finances and budget; 12/01/2021; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Steven Brochin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary Steven Brochin'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
June 1, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2 North Tamiami Trail, Sarasota, FL 34236Office #2: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326RIA
BD
CRD#: 793
SARASOTA, FL
Current
May 31, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2 North Tamiami Trail, Sarasota, FL 34236Office #2: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326RIA
BD
CRD#: 793
SARASOTA, FL
Past
February 10, 2015 - June 1, 2016
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Atlanta, GA
Past
January 22, 2015 - June 1, 2016
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Atlanta, GA
Past
June 26, 2006 - January 26, 2015
DOMINICK & DICKERMAN LLC
RIA
CRD#: 7344
ATLANTA, GA
Past
May 30, 2006 - January 26, 2015
DOMINICK & DICKERMAN LLC
BD
CRD#: 7344
ATLANTA, GA
Past
June 30, 2005 - June 9, 2006
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ATLANTA, GA
Past
June 27, 2005 - June 9, 2006
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
November 4, 2002 - July 15, 2005
TRUIST SECURITIES, INC.
RIA
CRD#: 6271
ATLANTA, GA
Past
November 1, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
July 26, 2002 - November 12, 2002
PERSHING LLC
RIA
CRD#: 7560
ATLANTA, GA
Past
April 22, 1994 - November 12, 2002
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
May 29, 1992 - May 5, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 3, 1989 - June 1, 1992
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
August 28, 1985 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
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
Alabama(5/31/2016)
RR
California(5/31/2016)
RR
Connecticut(12/9/2020)
RR
District of Columbia(12/2/2021)
RR
Florida(5/31/2016)
IAR
Florida(1/5/2017)
RR
Georgia(5/31/2016)
IAR
Georgia(6/1/2016)
RR
Illinois(8/1/2024)
RR
Michigan(3/3/2021)
RR
New Jersey(5/31/2016)
RR
New York(5/31/2016)
RR
North Carolina(5/31/2016)
RR
Ohio(5/31/2016)
RR
Pennsylvania(5/31/2016)
RR
Rhode Island(5/31/2016)
RR
South Carolina(6/8/2020)
RR
Tennessee(5/26/2020)
IAR
Texas(5/24/2021)
RR
Virginia(12/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 8/27/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 6/20/1985
Interest Rate Options ExaminationPrincipal/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
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.
