John Pocceschi

STIFEL CAPITAL MANAGEMENT

Princeton Junction, NJ 08550

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CRD#: 1442521

Professional summary

John Pocceschi, CIMA®, who also goes by John Paul Pocceschi, John Pocceschi, is a registered financial advisor currently at STIFEL CAPITAL MANAGEMENT, LLC located in Princeton Junction, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Paul Pocceschi | John Pocceschi

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Pocceschi's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 4, 2026 - Present

STIFEL CAPITAL MANAGEMENT, LLC

Office #1: 196 Princeton Hightstown Rd Suite 2a-1, Princeton Junction, NJ 08550

RIA

CRD#: 328365

Princeton Junction, NJ

Past

March 17, 2021 - February 13, 2026

SPRING MOUNTAIN CAPITAL, LP

RIA

CRD#: 119126

West Windsor, NJ

Past

December 16, 2019 - October 30, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

DOYLESTOWN, PA

Past

December 16, 2019 - October 30, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

August 20, 1986 - July 18, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 30, 1986 - June 4, 1986

FIRST CLEARING, LLC

CRD#: 17344

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 CAPITAL MANAGEMENT, LLC

CRD#: 328365 / SEC#: 801-129003

RIA

Registered Investment Advisory firm - (11/2/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(2/4/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/27/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/2/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/6/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/28/1992

Municipal Securities Principal Examination

Current Firm

STIFEL CAPITAL MANAGEMENT, LLC

CRD#: 328365 / SEC#: 801-129003

RIA

Registered Investment Advisory firm - (11/2/2023 Approved)

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Contact information

Main Address

1095 Avenue Of The Americas, New York, NY 10036

Mailing Address

501 N. Broadway, St. Louis, MO 63102

Phone number

(212) 328-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STIFEL CAPITAL MANAGEMENT - FORM ADV PART 2A FEBRUARY 2026 (2/13/2026)

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 1,487,893,776

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.

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Advisor Monitoring

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John Pocceschi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Pocceschi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPRING MOUNTAIN CAPITAL, LP

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST CLEARING, LLC

Primary Firm SEC Registration

STIFEL CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/27/2018

Series 65

Date: 2/2/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 24

Date: 8/6/2014

Series 53

Date: 10/28/1992

Current Firm

STIFEL CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STIFEL CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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