RM
Robert M. Muller
STIFEL, NICOLAUS & COMPANY
Richmond, VA 23219
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CRD#: 1955323
RM
Professional summary
Robert Matthew Muller, who also goes by Rob Muller, Robert Mathew Muller, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Richmond, Virginia.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Robert has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Muller | Robert Mathew Muller
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. CENTRAL VIRGINIA BASKETBALL OFFICIALS ASSOCIATION; 1518 LAUREL TOP DRIVE MIDLOTHIAN VA 23114; HIGH SCHOOL BASKETBALL OFFICIAL; OFFICIATE HIGH SCHOOL BASKETBALL GAMES; AFFILIATION STARTED 11/01/1990; 10 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Matthew Muller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Matthew Muller'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
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1021 East Cary Street Suite 1950, Richmond, VA 23219RIA
BD
CRD#: 793
Richmond, VA
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1021 East Cary Street Suite 1950, Richmond, VA 23219RIA
BD
CRD#: 793
Richmond, VA
Past
December 9, 2011 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
December 9, 2011 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
RICHMOND, VA
Past
April 4, 2005 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
RICHMOND, VA
Past
May 14, 2003 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
Past
May 9, 2003 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
RIA
CRD#: 108827
RICHMOND, VA
Past
May 1, 2002 - May 16, 2003
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
RICHMOND, VA
Past
March 9, 2002 - May 16, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
November 21, 1998 - March 28, 2001
BRANCH, CABELL & CO., INC.
BD
CRD#: 6820
RICHMOND, VA
Past
January 19, 1995 - September 30, 1998
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
June 22, 1990 - January 26, 1995
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
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
Alaska(7/7/2015)
RR
Arkansas(7/14/2022)
RR
California(7/7/2015)
RR
Colorado(11/26/2019)
RR
Connecticut(7/7/2015)
RR
Florida(7/7/2015)
RR
Georgia(7/7/2015)
RR
Illinois(1/2/2018)
RR
Iowa(5/26/2022)
RR
Kansas(6/20/2024)
RR
Maryland(12/4/2017)
RR
Massachusetts(4/14/2017)
RR
Mississippi(6/20/2024)
RR
Missouri(6/20/2024)
RR
New Hampshire(6/25/2024)
RR
New Jersey(3/13/2019)
RR
New York(7/7/2015)
RR
North Carolina(11/20/2015)
RR
Ohio(6/29/2022)
RR
South Carolina(7/7/2015)
RR
Tennessee(8/18/2021)
RR
Utah(7/15/2022)
RR
Virginia(7/7/2015)
IAR
Virginia(7/7/2015)
RR
Washington(10/6/2021)
RR
Wisconsin(8/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 793Richmond, VA 23219TRUST BUT VERIFY
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