AM
Arturo J. Mesa
STIFEL, NICOLAUS & COMPANY
Coral Gables, FL 33134
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CRD#: 1797279
AM
Professional summary
Arturo Jose Mesa, who also goes by Art Mesa, Arturo Mesa, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Coral Gables, Florida.
Arturo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Arturo has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 3 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Art Mesa | Arturo Mesa
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. Mountain Flower, LLC; 1545 San Remo Ave, Coral Gables, FL 33146; this entity owns a commercial rental property; Member/Owner; 02/28/2007; 0 Hours per Day; Not during securities trading hours; Investment-Related. 2. Galloway 120, LLC; 12101 Pine Needle Lane, Pinecrest, FL 33156; this entity owns a commercial rental property; Member/Owner;06/01/2022; 0 Hours per Day; Not during securities trading hours; Investment-Related. 3. A.J. Mesa Management, LLC; 2101 Pine Needle Lane, Pinecrest, FL 33156; Manage real-estate holdings and other admin functions for medical group; Own commercial real estate properties; Collecting rent, communicating with tenants ect.; 08/01/2006; 3 Hours per Week; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Arturo Jose Mesa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arturo Jose Mesa'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
September 27, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134RIA
BD
CRD#: 793
Coral Gables, FL
Current
September 23, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134RIA
BD
CRD#: 793
Coral Gables, FL
Past
June 28, 2010 - July 11, 2011
ITA FINANCIAL SERVICES, LLC
BD
CRD#: 38649
MIAMI, FL
Past
April 17, 2008 - July 29, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
SUMMERFIELD, FL
Past
September 15, 2005 - June 7, 2006
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
MIAMI, FL
Past
September 15, 2005 - June 7, 2006
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
MIAMI, FL
Past
August 13, 2001 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
August 13, 2001 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 1, 1998 - August 22, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 12, 1993 - January 1, 1998
NATIONSSECURITIES
BD
CRD#: 32542
Past
September 25, 1991 - July 12, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(10/12/2023)
RR
Florida(9/26/2022)
IAR
Florida(9/27/2022)
RR
New York(10/12/2023)
RR
Texas(5/21/2025)
RR
Virginia(11/13/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Coral Gables, FL 33134TRUST BUT VERIFY
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