RK
Ronald J. Kruszewski
STIFEL, NICOLAUS & COMPANY
ST. LOUIS, MO 63102
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CRD#: 1434827
RK
Professional summary
Ronald James Kruszewski is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Louis, Missouri.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Ronald has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24 and Series 27 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. Non Profit Fundraising of the US Ski and Snowboarding Team; Board of Trustees Member; No Compensation. 2. St Louis Chamber & Growth Association; Board Member of Community Development Association; No Compensation; Attend Board Meetings. 3. St Louis Chapter of World President's Organization; Member; 01/02/2012; 5 Hours per Year; Not During Securities Trading Hours. 4. Wimbledon Properties, LLC; 16 Huntleigh Woods, Huntleigh, MO 63131; Real Estate; Member; Co-Owner LLC; 06/24/2015; 0 Hours per Day; Not During Securities Trading Hours; Not Investment-Related. 5. Kruszewski Investments LLC (various); 501 North Broadway, St Louis, MO 63102; Holds Investments; LLC Member; Full Ownership; 12/11/2012; 1 Hours per Month; Not During Securities Trading Hours; Investment-Related. 6. American Securities Association (ASA); 1455 Pennsylvania, Avenue, NW, Suite 400, Washington DC 20004; America's voice for main street's investor; Chairman; Collaborate with other CEOs and top ranking people regarding issues that affect our business; 05/01/2018; 1 Hour per Week; During Securities Trading Hours; Investment-Related. 7. Securities Industry and Financial Markets Association (SIFMA); 1099 New York Avenue, 6th Floor, Washington DC 20001; Industry trade group representing securities, firms, banks, and asset management companies; Board Member and Executive Committee; Collaborate with other CEOs and top ranking people; 10/01/2008; 1 Hour per Day; During Securities Trading Hours; Investment-Related. 8. Broadway Boat Company, LLC; 501 North Broadway, St Louis, MO 63102; LLC to house yacht; Owner; 05/01/2018; 1 Hour per Week; During Securities Trading Hours; Not Investment-Related. 9. Greater St. Louis Inc.; One Metropolitan Square, Suite 1300, St Louis, MO 63102; Brings together business & civic leaders to create jobs, expand economic growth, and improve St. Louis' global competitiveness; Chair's Council; Collaborate with other St Louis business leaders regarding issues that affect our business; 11/01/2020; 1 Hour per Month; During Securities Trading Hours; Investment-Related. 10. Kutcher Clinic (The Sports Neurology Clinic, Inc); 8275 Grand River Avenue, Suite 210, Brighton, MI 46213; Monitor brain health and manage neurological injuries/diseases of athletes; Series A Board of Directors; Member of the Board; 01/01/2020; 1 Hour per Month; During Securities Trading Hours; Not Investment-Related. 11. Saint Louis University; 1 North Grand, St Louis, MO 63103; University; Board of Trustees; Collaborate with other business leaders regarding issues with the school; 01/01/2017; 1 Hour per Month; During Securities Trading Hours; Not Investment-Related. 12. Future Fuel Corp.; 8235 Forsyth Blvd, Clayton, MO 63105; Chemicals and biofuel; Board member; 07/11/2022; 10 Hours per Year; During Securities Trading Hours; Not Investment-Related. 13. Horatio Alger Association; 99 Canal Center Plaza, #320 Alexandria, VA 22314; 501(c)(3) nonprofit educational organization; Board of Director; Attend Board meetings; 01/01/2024; 10 hr/year; During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald James Kruszewski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald James Kruszewski'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 26, 1999 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N. Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Current
October 20, 1997 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N. Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Past
May 7, 1992 - October 29, 1997
BAIRD/MARK CAPITAL GROUP, A FLORIDA GENERAL PARTNERSHIP
BD
CRD#: 21657
Past
September 21, 1989 - October 13, 1997
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 3, 1986 - July 6, 1989
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
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(2/24/2023)
RR
California(2/24/2023)
RR
Colorado(12/18/2019)
RR
District of Columbia(2/24/2023)
RR
Florida(2/24/2023)
RR
Hawaii(2/24/2023)
RR
Illinois(10/20/1997)
RR
Indiana(2/24/2023)
RR
Michigan(10/21/1997)
RR
Missouri(10/20/1997)
IAR
Missouri(2/26/1999)
RR
South Carolina(2/24/2023)
RR
Washington(2/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
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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 | 167 |
| 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.
