RB
Robin K. Barry
STIFEL, NICOLAUS & COMPANY
Dallas, TX 75201
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CRD#: 1444044
RB
Professional summary
Robin Kay Barry, who also goes by Robin K Barry, Robin Kay Barry, Robin Barry, Robin Barry Kuchenbacker, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Dallas, Texas.
Robin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robin has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robin K Barry | Robin Kay Barry | Robin Barry | Robin Barry Kuchenbacker
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robin Kay Barry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robin Kay Barry'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
December 15, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2850 North Harwood 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 793
Dallas, TX
Current
December 15, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2850 North Harwood 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 793
Dallas, TX
Past
September 24, 2020 - December 8, 2021
ROCKEFELLER FINANCIAL LLC
RIA
CRD#: 291361
Dallas, TX
Past
September 24, 2020 - December 8, 2021
ROCKEFELLER FINANCIAL LLC
BD
CRD#: 291361
Dallas, TX
Past
March 26, 2014 - October 12, 2020
MORGAN STANLEY
RIA
CRD#: 149777
DALLAS, TX
Past
March 26, 2014 - October 12, 2020
MORGAN STANLEY
BD
CRD#: 149777
DALLAS, TX
Past
October 23, 2009 - March 18, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
October 23, 2009 - March 18, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
June 18, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
DALLAS, TX
Past
April 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
DALLAS, TX
Past
September 5, 1991 - March 20, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
March 26, 1991 - August 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 4, 1990 - November 9, 1990
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
March 21, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
HOUSTON, TX
Past
June 25, 1986 - January 1, 1988
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
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(3/28/2022)
RR
Alaska(3/28/2022)
RR
Arizona(3/28/2022)
RR
Arkansas(3/28/2022)
RR
California(3/28/2022)
RR
Colorado(3/28/2022)
RR
Connecticut(3/28/2022)
RR
Delaware(3/28/2022)
RR
District of Columbia(3/28/2022)
RR
Florida(3/28/2022)
RR
Georgia(3/28/2022)
RR
Hawaii(3/28/2022)
RR
Idaho(3/28/2022)
RR
Illinois(3/28/2022)
RR
Indiana(3/28/2022)
RR
Iowa(3/28/2022)
RR
Kansas(3/28/2022)
RR
Kentucky(3/28/2022)
RR
Louisiana(3/28/2022)
RR
Maine(3/28/2022)
RR
Maryland(3/28/2022)
RR
Massachusetts(4/28/2026)
RR
Michigan(3/28/2022)
RR
Minnesota(3/28/2022)
RR
Mississippi(3/28/2022)
RR
Missouri(3/28/2022)
RR
Montana(3/28/2022)
RR
Nevada(3/28/2022)
RR
New Hampshire(3/28/2022)
RR
New Jersey(3/28/2022)
RR
New Mexico(3/28/2022)
RR
New York(3/28/2022)
RR
North Carolina(3/29/2022)
RR
Ohio(3/29/2022)
RR
Oklahoma(3/28/2022)
RR
Oregon(3/28/2022)
RR
Pennsylvania(3/28/2022)
RR
Puerto Rico(3/28/2022)
RR
Rhode Island(3/28/2022)
RR
South Carolina(3/28/2022)
RR
Texas(12/15/2021)
IAR
Texas(12/15/2021)
RR
Utah(3/28/2022)
RR
Vermont(4/28/2026)
RR
Virgin Islands(3/28/2022)
RR
Virginia(3/28/2022)
RR
Washington(3/28/2022)
RR
Wisconsin(3/28/2022)
RR
Wyoming(3/28/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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)
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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 | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| 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#: 793Dallas, TX 75201TRUST BUT VERIFY
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