EN
Eric P. Niedermeyer
STIFEL INDEPENDENT ADVISORS
Lake Oswego, OR 97034
Some features on this profile are disabled
CRD#: 1680870
EN
Professional summary
Eric Paxton Niedermeyer, who also goes by Eric Paxton Niedermeyer, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Lake Oswego, Oregon.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Eric has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Paxton Niedermeyer
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. Niedermeyer Financial/ Tanner Creek Capital; 8 N. State street #200, Lake Oswego, OR 97034; Investment advisory through Stifel Independent Advisors; Chief Investment Officer; Manager; 11/10/2011; 8 Hours per Day; During Securities Trading Hours; Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Paxton Niedermeyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Paxton Niedermeyer'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
November 15, 2022 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 8 N State Street Suite 200, Lake Oswego, OR 97034RIA
BD
CRD#: 28218
Lake Oswego, OR
Current
November 8, 2022 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 8 N State Street Suite 200, Lake Oswego, OR 97034RIA
BD
CRD#: 28218
Lake Oswego, OR
Past
October 5, 2011 - November 14, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
LAKE OSWEGO, OR
Past
October 3, 2011 - November 14, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
LAKE OSWEGO, OR
Past
October 21, 2002 - October 3, 2011
D.A. DAVIDSON & CO.
RIA
CRD#: 199
PORTLAND, OR
Past
July 11, 2001 - October 3, 2011
D.A. DAVIDSON & CO.
BD
CRD#: 199
PORTLAND, OR
Past
July 10, 1998 - July 13, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 8, 1993 - July 29, 1998
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
February 22, 1991 - July 29, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 24, 1987 - March 28, 1989
SECURITY PACIFIC SECURITIES OF OREGON, INC.
BD
CRD#: 13120
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
Arizona(1/17/2023)
RR
California(1/4/2023)
RR
Hawaii(1/17/2023)
RR
Idaho(11/18/2024)
RR
Illinois(1/13/2023)
RR
Nebraska(1/25/2023)
RR
Nevada(5/7/2024)
RR
New Jersey(8/1/2025)
RR
Oregon(11/15/2022)
IAR
Oregon(11/15/2022)
RR
Texas(1/4/2023)
RR
Wisconsin(1/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
