RZ
Richard T. Zuckerman
STIFEL, NICOLAUS & COMPANY
WHITE PLAINS, NY 10604
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CRD#: 1828594
RZ
Professional summary
Richard Todd Zuckerman is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in White Plains, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Todd Zuckerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Todd Zuckerman'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
April 24, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604Office #2: 2515 South Road Suite 202, Poughkeepsie, NY 12601RIA
BD
CRD#: 793
WHITE PLAINS, NY
Current
April 24, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604Office #2: 2515 South Road Suite 202, Poughkeepsie, NY 12601RIA
BD
CRD#: 793
WHITE PLAINS, NY
Past
November 15, 2005 - April 24, 2007
RYAN BECK & CO.
RIA
CRD#: 3248
ROSELAND, NJ
Past
November 15, 2005 - April 24, 2007
RYAN BECK & CO.
BD
CRD#: 3248
ROSELAND, NJ
Past
January 1, 2004 - November 17, 2005
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
MILLBURN, NJ
Past
January 1, 2004 - November 17, 2005
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
September 11, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
MILLBURN, NJ
Past
March 16, 1999 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
April 15, 1996 - March 15, 1999
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
April 29, 1994 - May 30, 1996
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
July 15, 1993 - May 3, 1994
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
March 27, 1989 - August 5, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 29, 1988 - January 9, 1989
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
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
Arkansas(5/23/2023)
RR
California(7/13/2015)
RR
Connecticut(8/7/2013)
RR
Delaware(1/7/2021)
RR
Florida(2/6/2012)
RR
Illinois(2/6/2020)
RR
Louisiana(6/30/2017)
RR
Maine(4/19/2023)
RR
Maryland(7/18/2025)
RR
Massachusetts(2/13/2018)
RR
Nevada(2/9/2021)
RR
New Hampshire(2/8/2021)
RR
New Jersey(4/24/2007)
IAR
New Jersey(4/24/2007)
RR
New York(4/24/2007)
IAR
New York(5/26/2021)
RR
North Carolina(4/24/2007)
RR
Pennsylvania(7/19/2007)
RR
Rhode Island(7/22/2019)
RR
South Carolina(2/8/2021)
RR
Tennessee(4/24/2007)
RR
Utah(5/17/2023)
RR
Vermont(12/3/2024)
RR
Virginia(4/24/2007)
RR
Washington(2/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
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.
