MW
Morton E. Wolverton
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CRD#: 1916382
MW
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Morton Elwood Wolverton, who also goes by Morton Wolverton, Woody Wolverton, was a registered financial professional .
Morton is a previously registered financial professional and started their career in finance in 1989. Morton had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Morton Wolverton | Woody Wolverton
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.
REAL ESTATE OWNERSHIP: COMMERCIAL; OKLAHOMA; NOT INVESTMENT RELATED; NOVEMBER 2014.
2. Trustee of non-family trust.
3. Rental Property; 1064 NW Tamiami Trail Sarasota FL 34236;owner;1/1/07;10 hr/yr; not during securities trading hours;investment related.
4. Orange Street Partners Office building;783 S. Orange Ave Sarasota FL 34236;Rental property;owner;6/3/1996; 5 hr/mo; during securities trading hours;investment related.
5.Cameron Village Development; 502 SW University Dr Lawton OK 73505; Investment Property; Partner; Oversee Property Development;1/1/1980; 1 hr/yr; not during securities trading hours; Investment related.
6. Farm Property;3551 Bayou Circle Long Boat Key FL 34228; Farming; owner; 1/1/1959; 1 hr/yr;not during securities trading hours;investment related.
7. WSW Rentals of Sarasota LLC;3551 Bayou Circle Long Boat Key FL 34228;Buying/Selling/Renting Used Airplanes;Partner; buying/selling/renting;1/1/2005; 1 hr/mo; not during securities trading hours;not investment related.
8. Rental Property;4305 NW Cache Rd Lawton OK 73505;commercial building rental; owner; 1/1/1964; 5 hr/mo;during securities trading hours; investment related.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 1, 2019 - April 25, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SARASOTA, FL
Past
July 30, 2019 - April 25, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SARASOTA, FL
Past
November 25, 2014 - August 1, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SARASOTA, FL
Past
November 17, 2014 - August 1, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SARASOTA, FL
Past
April 30, 2004 - December 4, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SARASOTA, FL
Past
April 22, 2004 - December 4, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SARASOTA, FL
Past
November 25, 1996 - May 21, 2004
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
SARASOTA, FL
Past
November 18, 1996 - May 21, 2004
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
December 7, 1992 - November 14, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 7, 1991 - December 14, 1992
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
April 10, 1989 - August 5, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/5/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
