RS
Robert J. Sawyer
STIFEL INDEPENDENT ADVISORS
Gulfport, MS 39501
Some features on this profile are disabled
CRD#: 1705283
RS
Professional summary
Robert John Sawyer, who also goes by Bob Sawyer, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Gulfport, Mississippi.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Sawyer
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. Trinity Investment Services; 2304 14th Street Gulfport MS 39501; the name of their Stifel Independent office; Managing Director; business owner; authorized to sign checks & disburse funds as needed from acct; affiliation started 02/10/2017; 1.0 hour per month; during securities trading hours; investment-related. 2. Memorial Hospital Gulfport MS; 4500 13th Street, Gulfport, MS 39501; Medical; Board of Trustee; Approve operations; 03/14/2022; 12 Hours per Month; During Securities Trading Hours; Not Investment-Related. 3. Memorial Hospital Gulfport MS; 4500 13th Street, Gulfport, MS 39501; Medical; Chairman of the Board of Trustees; Run the Hospital by directing Executive Director and Medical Staff; 03/29/2022; 4 hrs/week; During Securities Trading Hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Robert John Sawyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert John Sawyer'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 7, 2006 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2304 14th Street, Gulfport, MS 39501RIA
BD
CRD#: 28218
Gulfport, MS
Current
March 3, 2006 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2304 14th Street, Gulfport, MS 39501RIA
BD
CRD#: 28218
Gulfport, MS
Past
September 12, 2002 - March 6, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SARASOTA, FL
Past
May 16, 2002 - March 6, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SARASOTA, FL
Past
May 12, 2000 - May 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BILOXI, MS
Past
May 12, 2000 - May 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 21, 1993 - June 9, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
July 22, 1991 - January 6, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 5, 1988 - July 30, 1991
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
August 20, 1987 - October 14, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
BD
CRD#: 414
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
Arkansas(3/3/2006)
RR
Florida(2/4/2015)
RR
Louisiana(2/19/2015)
RR
Mississippi(3/3/2006)
IAR
Mississippi(8/7/2006)
RR
South Carolina(1/5/2023)
RR
Texas(6/9/2023)
IAR
Texas(6/12/2023)
RR
Virginia(9/8/2025)
Exams
State Security Law Exam
State Security Law 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.
