SB
Stephen S. Brown
STIFEL, NICOLAUS & COMPANY
Fairport, NY 14450
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CRD#: 1799847
SB
Professional summary
Stephen Scott Brown, AIF® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Fairport, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Iron Smoke Whiskey, LLC; 111 Parce Avenue, Suite 5B, Fairport, NY 14450; Distiller of Whiskey; Co-Founder; Voting rights; 05/11/2011; 3 Hours per Month; Not during securities trading hours. Not Investment-Related. 2. NAZARETH COLLEGE; GOLDEN FLYER WAY PITTSFORD; NY 14534; TRUSTEE; ATTEND BOARD MEETINGS; AFFILIATION STARTED 02/15/2012; 4 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS. 3. ROCHESTER HEALTH SYSTEMS; PORTLAND AVE ROCHESTER NY 14617; SIT ON THE FINANCE COMMITEE; REVIEW QUARTERLY FINANCIAL STATEMENTS WITH OTHER COMMITTEE MEMBERS; AFFILIATION STARTED 06/15/2008; 2 HOURS PER QUARTER; NOT DURING SECURITIES TRADING HOURS. 4. Investments & Wealth Institute; 5619 DTC Parkway, Greenwood Village, CO 80111; Advisor Continuing Education; Committee to help with the nest Advisor Form; Give input; 03/31/2021; 2 Hours per Month; During Securities Trading Hours; Investment-Related. 5.Investment and Wealth Institute - Specialty Conference Committee; 5619 DTC Parkway Suite 600 Greenwood Village, CO 80111: Advisor Education; Committee Member; Help identify speakers for conferences; 7/15/2022; 2 Hours per Month; During Securities Trading Hours; Investment-Related. 6. 59 Parce Avenue LLC; 111 Parce Avenue, Fairport, NY 14450; Commercial Building in Fairport NY; Managing Member of the LLC; collect lease payment - pay expenses; 03/28/2023; 2 Hours per Month; Not During Securities Trading Hours; Investment-Related. 7. Nazareth University; 4245 East Avenue Rochester NY 14618; University; Chair of the Investment Committee; Act as a member of a committee that receives updates from the University's paid consultant; 01/01/2020; 3 hrs/quarter; Not during security trading hours; Not Investment-Related 8. Nazareth University; 4245 East Avenue Rochester NY 14618; University; Committee Member; Sit on the Finance Committee - review and vote on budget related issues; 01/01/2012; 2 hrs/quarter; Not during security trading hours; Not Investment-Related 9. Rochester Knighthawks Lacrosse Team; One War Memorial Rochester, NY 14614; Professional Lacrosse team; Advisory Board Member; Sit on an advisory board to talk about how to increase the visibility of the professional lacrosse team in our community; 12/01/2025; 4hrs/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Scott Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Scott Brown'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®
Experience
Current
October 21, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 295 Woodcliff Drive, Fairport, NY 14450RIA
BD
CRD#: 793
Fairport, NY
Current
October 20, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 295 Woodcliff Drive, Fairport, NY 14450RIA
BD
CRD#: 793
Fairport, NY
Past
January 4, 1994 - September 19, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PITTSFORD, NY
Past
September 9, 1991 - September 19, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PITTSFORD, NY
Past
February 23, 1988 - September 11, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(7/18/2019)
RR
Arizona(12/18/2014)
RR
California(10/20/2014)
RR
Connecticut(12/5/2014)
RR
District of Columbia(10/22/2014)
RR
Florida(1/5/2015)
RR
Georgia(10/20/2014)
RR
Illinois(10/20/2014)
RR
Kansas(10/28/2014)
RR
Maryland(11/22/2021)
RR
Michigan(6/30/2022)
RR
New Hampshire(11/26/2024)
RR
New Jersey(6/27/2022)
RR
New York(10/20/2014)
IAR
New York(11/19/2021)
RR
North Carolina(12/18/2014)
RR
Oklahoma(1/29/2019)
RR
Pennsylvania(10/21/2014)
RR
Rhode Island(10/20/2014)
RR
South Carolina(12/17/2014)
RR
Tennessee(12/10/2014)
IAR
Texas(10/21/2014)
RR
Texas(1/15/2015)
RR
Vermont(1/5/2015)
RR
Virginia(10/20/2014)
RR
Wisconsin(11/4/2014)
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Fairport, NY 14450TRUST BUT VERIFY
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