RB
Randy A. Bettich
STIFEL, NICOLAUS & COMPANY
St. Joseph, MI 49085
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CRD#: 1569627
RB
Professional summary
Randy Alexander Bettich, who also goes by Alex Bettich, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Joseph, Michigan.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Randy has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Bettich
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. LMC Foundation; 2755 E. Napier Avenue Benton Harbor MI 49022; A 5013c Foundation that supports Lake Michigan College; BOD Trustee; a voting board member; affiliation started 01/01/2016; 6.0 hours per quarter; not during securities trading hours; not investment-related. 2. Humane Society of Southwestern Michigan; 5400 Niles Road St. Joseph MI 49085; Humane Society (Animal Shelter); Trustee on the BOD; Attend Meetings and Participate Voting when Motions are made; 07/01/2024; 2 hrs/month; During securities trading hours; Not Investment-Related 3. Rotary Club of St. Joseph-Benton Harbor; P.O. Box 143 St. Joseph MI 49085; This is an international service club (non-profit); Co-Chair for the St. Joseph - Benton Harbor Rotary Track Meet; organize volunteers for our annual high school track meet; 07/01/2008; 80 hrs/year; During securities trading hours; Not Investment-Related 4. Lake Michigan College Foundation- Investment & Finance Committee; 2755 East Napier Ave Benton Harbor MI 49085; 5013c entity that financially supports a community college; I am the chairperson for the Investment & Finance Committee (Investment & Finance Committee is one committee); I chair the meetings where we review the foundation's investments; 09/05/2016; 4 hrs/month; During securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Randy Alexander Bettich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randy Alexander Bettich'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
March 27, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 4097 Hollywood Road, St. Joseph, MI 49085Office #2: 10550 Broadway, Crown Point, IN 46307RIA
BD
CRD#: 793
St. Joseph, MI
Current
March 15, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 4097 Hollywood Road, St. Joseph, MI 49085Office #2: 10550 Broadway, Crown Point, IN 46307RIA
BD
CRD#: 793
St. Joseph, MI
Past
January 1, 2008 - March 16, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. JOSEPH, MI
Past
January 1, 2008 - March 16, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. JOSEPH, MI
Past
July 31, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ST. JOSEPH, MI
Past
November 9, 1988 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. JOSEPH, MI
Past
October 24, 1986 - November 15, 1988
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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(10/24/2022)
RR
Arizona(11/18/2022)
RR
Arkansas(8/14/2020)
RR
California(3/15/2012)
RR
Connecticut(9/26/2019)
RR
Florida(3/15/2012)
RR
Georgia(3/15/2012)
RR
Illinois(3/15/2012)
RR
Indiana(3/15/2012)
IAR
Indiana(1/16/2019)
RR
Kentucky(2/24/2020)
RR
Michigan(3/15/2012)
IAR
Michigan(3/27/2012)
RR
Missouri(3/15/2012)
RR
Montana(11/12/2024)
RR
North Carolina(11/6/2024)
RR
Ohio(3/15/2012)
RR
Pennsylvania(7/18/2024)
RR
South Carolina(2/21/2023)
RR
Tennessee(10/5/2020)
IAR
Texas(11/7/2019)
RR
Texas(5/8/2025)
RR
Washington(8/23/2018)
RR
Wisconsin(10/15/2021)
Exams
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
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.
