JG
Jon R. Garberg
STIFEL, NICOLAUS & COMPANY
Bellevue, WA 98004
Some features on this profile are disabled
CRD#: 1775648
JG
Professional summary
Jon Randall Garberg, who also goes by Jon R Garberg, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Bellevue, Washington.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jon has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon R Garberg
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. Red Herring Rock Band; 14204 SE 52nd Pl. Bellevue WA 98006; Classic Rock Band; Drummer; affiliation started 09/01/2002; 10.0 hours per month; not investment-related. 2. Pacific Northwest Football Officials Assoc;16300 Christenson Rd Seattle WA 98188;High School Football Referees;Referee;9/6/19;6 hr/wk;not during securities trading hours;not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Jon Randall Garberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jon Randall Garberg'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 14, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 10400 Ne 4th Street, Suite 2000, Bellevue, WA 98004RIA
BD
CRD#: 793
Bellevue, WA
Current
March 14, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 10400 Ne 4th Street, Suite 2000, Bellevue, WA 98004RIA
BD
CRD#: 793
Bellevue, WA
Past
November 7, 2014 - March 29, 2017
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Seattle, WA
Past
November 7, 2014 - March 29, 2017
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Seattle, WA
Past
February 13, 2009 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
RIA
CRD#: 45899
SEATTLE, WA
Past
February 13, 2009 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
BD
CRD#: 45899
SEATTLE, WA
Past
April 2, 2007 - February 18, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BELLEVUE, WA
Past
April 2, 2007 - February 18, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BELLEVUE, WA
Past
December 16, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BELLEVUE, WA
Past
December 16, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BELLEVUE, WA
Past
December 28, 2001 - January 3, 2006
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SEATTLE, WA
Past
June 8, 2001 - January 3, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 19, 1990 - June 15, 2001
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
February 15, 1988 - February 13, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 22, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
Arizona(3/14/2017)
RR
California(3/14/2017)
RR
Colorado(3/14/2017)
RR
Florida(3/14/2017)
RR
Hawaii(1/4/2018)
RR
Idaho(3/14/2017)
RR
Illinois(10/7/2024)
RR
Michigan(3/14/2017)
RR
Nevada(11/13/2018)
RR
New York(1/5/2022)
RR
Oregon(5/25/2017)
RR
Pennsylvania(6/20/2023)
RR
South Carolina(11/13/2023)
RR
Tennessee(3/14/2017)
RR
Texas(3/14/2017)
IAR
Texas(3/4/2021)
RR
Vermont(3/14/2017)
RR
Virginia(1/3/2025)
RR
Washington(3/14/2017)
IAR
Washington(3/14/2017)
RR
Wisconsin(9/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
