LF
Lawrence E. Feldmesser
STIFEL, NICOLAUS & COMPANY
Washington, DC 20006
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CRD#: 1848547
LF
Professional summary
Lawrence Edward Feldmesser, who also goes by Larry Feldmesser, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Washington, District Of Columbia.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Lawrence has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Feldmesser
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 Lawrence Edward Feldmesser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Edward Feldmesser'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 29, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1776 I Street, Washington, DC 20006RIA
BD
CRD#: 793
Washington, DC
Current
August 29, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1776 I Street, Washington, DC 20006RIA
BD
CRD#: 793
Washington, DC
Past
November 19, 2007 - July 31, 2008
INTEROCEAN WEALTH MANAGEMENT LLC
RIA
CRD#: 140456
CHICAGO, IL
Past
November 16, 2007 - July 31, 2008
INTEROCEAN SECURITIES LLC
BD
CRD#: 141077
CHICAGO, IL
Past
March 27, 2007 - November 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BROOKFIELD, WI
Past
December 5, 2001 - April 4, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BROOKFIELD, WI
Past
July 16, 1999 - April 4, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BROOKFIELD, WI
Past
October 16, 1996 - August 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 12, 1996 - November 5, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 12, 1995 - October 9, 1995
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
Past
July 18, 1994 - May 1, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 8, 1991 - June 20, 1994
THE CHICAGO CORPORATION
BD
CRD#: 1449
CHICAGO, IL
Past
February 28, 1991 - October 17, 1991
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
August 28, 1990 - March 1, 1991
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
June 20, 1989 - August 16, 1990
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
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(1/9/2023)
RR
Arkansas(7/17/2023)
RR
California(1/9/2023)
RR
Colorado(4/6/2011)
RR
District of Columbia(3/2/2023)
IAR
District of Columbia(3/6/2023)
IAR
Florida(9/2/2008)
RR
Florida(4/5/2011)
RR
Georgia(10/18/2021)
RR
Illinois(1/9/2023)
RR
Maryland(4/5/2011)
RR
Massachusetts(12/20/2022)
RR
Michigan(4/5/2011)
RR
Minnesota(4/5/2011)
RR
Missouri(6/22/2021)
RR
Montana(6/30/2020)
RR
New Jersey(1/9/2023)
RR
New York(4/5/2011)
RR
North Carolina(4/6/2011)
RR
Ohio(1/9/2023)
RR
Oregon(2/2/2025)
RR
Tennessee(4/5/2011)
RR
Texas(8/29/2008)
IAR
Texas(10/29/2021)
RR
Utah(7/17/2023)
RR
Vermont(4/11/2012)
RR
Virginia(5/29/2020)
IAR
Virginia(6/10/2020)
RR
Wisconsin(8/29/2008)
IAR
Wisconsin(12/20/2011)
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
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#: 793Washington, DC 20006TRUST BUT VERIFY
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Contact information
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