KH
Krista M. Hall
STIFEL INDEPENDENT ADVISORS
Canyon Lake, TX
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CRD#: 1453907
KH
Professional summary
Krista Maya Hall, who also goes by Krista Maya Hucher, Krista Hutcher, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Canyon Lake, Texas.
Krista is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Krista has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Krista Maya Hucher | Krista Hutcher
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. Marmaya; 1464 Oakridge Lane Canyon Lake TX 78133; Family Limited Partnership; Owner; Financial Advisor; affiliation started 01/26/2006; 1.0 hour per month; during securities trading hours; Investment-Related. 2. Legal Name: Krista Hall LLC; 1464 Oakridge Lane Canyon Lake TX 78133; checking account; Owner; this is a checking account; affiliation started 11/01/2005; 1.0 hour per year; not during securities trading hours; not investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Krista Maya Hall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Krista Maya Hall'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
September 23, 2005 - Present
STIFEL INDEPENDENT ADVISORS, LLC
RIA
BD
CRD#: 28218
Canyon Lake, TX
Current
September 23, 2005 - Present
STIFEL INDEPENDENT ADVISORS, LLC
RIA
BD
CRD#: 28218
Canyon Lake, TX
Past
March 17, 2000 - October 3, 2005
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
HOUSTON, TX
Past
March 17, 2000 - October 3, 2005
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
March 2, 1998 - March 27, 2000
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
November 5, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
January 1, 1991 - November 11, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 18, 1986 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)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
California(9/23/2005)
RR
Illinois(9/23/2005)
RR
Tennessee(9/23/2005)
RR
Texas(9/23/2005)
IAR
Texas(9/23/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
