BD
Billy M. Dodson
STIFEL, NICOLAUS & COMPANY
NEW BRAUNFELS, TX 78132
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CRD#: 1993592
BD
Professional summary
Billy Maurice Dodson, who also goes by Bill Dodson, William Dodson, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New Braunfels, Texas.
Billy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Billy has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 79, Series 7, Series 62, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Dodson | William Dodson
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. Christ Our King Anglican Church; 115 Kings Way, New Braunfels, TX 78130; Church; Vestry member/Board of Directors; General oversight of the corporate/business activities of the church; 01/02/2023; 5 Hours per Month; Not during securities trading hours; Not Investment-Related. 2. Christian Care Management, Inc. (and affiliates/sponsored entities); 2400 W DUNLAP AVE, Suite 250 PHOENIX, AZ 85021; Non-profit corporation that operates senior living communities, primarily in Arizona.; DIRECTOR (MEMBER OF THE BOARD OF DIRECTORS); MEMBER OF THE BOARD OF DIRECTORS; 11/03/2023; 8hrs/month; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Billy Maurice Dodson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Billy Maurice Dodson'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
March 16, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1878 Herbelin Road Suite 302 & 303, New Braunfels, TX 78132RIA
BD
CRD#: 793
NEW BRAUNFELS, TX
Current
March 16, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1878 Herbelin Road Suite 302 & 303, New Braunfels, TX 78132RIA
BD
CRD#: 793
NEW BRAUNFELS, TX
Past
January 2, 2014 - March 16, 2018
B. C. ZIEGLER AND COMPANY
RIA
CRD#: 61
Yorba Linda, CA
Past
January 2, 2014 - March 16, 2018
B. C. ZIEGLER AND COMPANY
BD
CRD#: 61
Yorba Linda, CA
Past
July 10, 2013 - October 4, 2013
MINISTRY PARTNERS SECURITIES, LLC
RIA
CRD#: 154349
BREA, CA
Past
March 2, 2011 - October 4, 2013
MINISTRY PARTNERS SECURITIES, LLC
BD
CRD#: 154349
BREA, CA
Past
July 6, 2005 - May 15, 2006
STRONGTOWER FINANCIAL, INC.
RIA
CRD#: 35504
FRESNO, CA
Past
September 26, 2003 - June 21, 2005
STRONGTOWER FINANCIAL, INC.
RIA
CRD#: 35504
FRESNO, CA
Past
January 2, 2000 - May 15, 2006
STRONGTOWER FINANCIAL, INC.
BD
CRD#: 35504
FRESNO, CA
Past
November 16, 1990 - October 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
November 21, 1989 - November 21, 1990
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
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(9/5/2018)
RR
Alaska(9/5/2018)
RR
Arizona(9/5/2018)
RR
Arkansas(9/5/2018)
RR
California(3/16/2018)
IAR
California(3/16/2018)
RR
Colorado(9/5/2018)
RR
Connecticut(9/5/2018)
RR
Delaware(9/5/2018)
RR
District of Columbia(9/6/2018)
RR
Florida(9/5/2018)
RR
Georgia(9/5/2018)
RR
Hawaii(9/5/2018)
RR
Idaho(9/5/2018)
RR
Illinois(9/5/2018)
RR
Indiana(9/5/2018)
RR
Iowa(9/5/2018)
RR
Kansas(9/5/2018)
RR
Kentucky(9/5/2018)
RR
Louisiana(9/5/2018)
RR
Maine(9/5/2018)
RR
Maryland(9/5/2018)
RR
Massachusetts(9/5/2018)
RR
Michigan(9/5/2018)
RR
Minnesota(9/5/2018)
RR
Mississippi(9/5/2018)
RR
Missouri(9/5/2018)
RR
Montana(9/5/2018)
RR
Nebraska(9/5/2018)
RR
Nevada(9/5/2018)
RR
New Hampshire(9/5/2018)
RR
New Jersey(9/5/2018)
RR
New Mexico(9/5/2018)
RR
New York(9/5/2018)
RR
North Carolina(9/5/2018)
RR
North Dakota(9/5/2018)
RR
Ohio(9/6/2018)
RR
Oklahoma(9/5/2018)
RR
Oregon(9/5/2018)
RR
Pennsylvania(9/5/2018)
RR
Rhode Island(9/5/2018)
RR
South Carolina(9/5/2018)
RR
South Dakota(9/5/2018)
RR
Tennessee(9/5/2018)
RR
Texas(9/5/2018)
IAR
Texas(12/16/2020)
RR
Utah(9/5/2018)
RR
Vermont(9/5/2018)
RR
Virginia(9/5/2018)
RR
Washington(9/5/2018)
RR
West Virginia(9/5/2018)
RR
Wisconsin(9/5/2018)
RR
Wyoming(9/5/2018)
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
General Industry/Product Exam
RR
Series 62
Date: 12/28/1999
Corporate Securities Limited Representative ExaminationPrincipal/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.
