RT
Robert D. Twillmann
STIFEL, NICOLAUS & COMPANY
Raleigh, NC 27612
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CRD#: 1590799
RT
Professional summary
Robert Douglas Twillmann, who also goes by Robert D Twillamn, Bob Twillmann, Robert Twillmann, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Raleigh, North Carolina.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert D Twillamn | Bob Twillmann | Robert Twillmann
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) - BD
Click below to view Robert Douglas Twillmann'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
August 21, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3605 Glenwood Ave., Suite 390, Raleigh, NC 27612RIA
BD
CRD#: 793
Raleigh, NC
Past
October 4, 2005 - August 21, 2007
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
January 16, 2002 - October 18, 2005
MILESTONE ADVISORS LLC
BD
CRD#: 112481
MCLEAN, VA
Past
June 16, 1999 - January 14, 2000
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
November 3, 1997 - June 1, 1999
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
May 7, 1997 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
BD
CRD#: 3801
NEW YORK, NY
Past
August 30, 1994 - May 9, 1997
BAIRD, PATRICK & CO., INC.
BD
CRD#: 1149
FAIRFIELD, NJ
Past
June 17, 1993 - June 30, 1994
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
April 25, 1989 - May 17, 1993
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
November 19, 1986 - March 28, 1989
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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.
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(6/27/2018)
RR
Connecticut(11/1/2023)
RR
District of Columbia(6/27/2018)
RR
Florida(1/10/2011)
RR
Georgia(9/20/2016)
RR
Maryland(8/22/2007)
RR
Massachusetts(1/2/2015)
RR
New Jersey(8/21/2007)
RR
New York(8/22/2007)
RR
North Carolina(6/28/2018)
RR
Ohio(10/18/2022)
RR
Pennsylvania(8/22/2007)
RR
Puerto Rico(9/20/2016)
RR
South Carolina(2/26/2014)
RR
South Dakota(11/1/2023)
RR
Texas(12/18/2015)
RR
Virginia(8/22/2007)
RR
Wisconsin(12/14/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Raleigh, NC 27612TRUST BUT VERIFY
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