RB
Robert M. Burkarth
STIFEL, NICOLAUS & COMPANY
New York, NY 10036
Some features on this profile are disabled
CRD#: 1998509
RB
Professional summary
Robert Michael Burkarth III, who also goes by Bob Burkarth III, Bob Burkarth, Robert Michael Burkarth, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Burkarth Iii | Bob Burkarth | Robert Michael Burkarth
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. STAFFING BY MARY WATTERS; 36 FOX STREET BRIDGEPORT CT 06605; PROVIDES CATERING STAFF (CHEFS/SERVERS/ BARTENDERS) TO PRIVATE AND CORPORATE EVENTS; SUBCONTRACTOR; BARTENDER/ KITCHEN STAFF; AFFILIATION STARTED 06/01/2015; 30 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED.
2. Uber; 405 Howard Street San Francisco CA 94105; Driving riders for a fee in my car; Driver; Drive passengers to their selected destination (weekends); affiliation started 12/15/2016; 10.0 hours per week; not during securities trading hours; not investment-related.
3. I-IV-V Gear, LLC; 107A Lehner Street, Wolfeboro, NH 03896; Designs and contract manufactures signal chain processors for guitar players; 50% Member; Design ideas, accounting help; 02/15/2019; 2.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Robert Michael Burkarth III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Burkarth III'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: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Past
September 12, 2014 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
NEW YORK, NY
Past
September 12, 2014 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NEW YORK, NY
Past
January 24, 2011 - September 15, 2014
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
STAMFORD, CT
Past
January 14, 2011 - September 15, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
STAMFORD, CT
Past
January 3, 2011 - January 19, 2011
OSAIC FS, INC.
RIA
CRD#: 3870
SOUTHPORT, CT
Past
May 15, 2009 - January 19, 2011
OSAIC FS, INC.
BD
CRD#: 3870
SOUTHPORT, CT
Past
July 2, 2008 - December 31, 2010
U.S. FINANCIAL ADVISORS
RIA
CRD#: 108763
SOUTHPORT, CT
Past
July 2, 2008 - May 21, 2009
U.S. WEALTH ADVISORS, LLC.
BD
CRD#: 126924
SOUTHPORT, CT
Past
October 31, 2005 - July 2, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
STAMFORD, CT
Past
January 7, 2005 - July 3, 2008
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
DARTMOUTH, MA
Past
June 10, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 14, 2003 - February 9, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 4, 2001 - January 31, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 16, 1997 - May 4, 2001
WEALTH PRESERVATION ASSOCIATES, LLC
BD
CRD#: 35277
NEW YORK, NY
Past
December 19, 1996 - June 11, 1997
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
July 14, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
November 20, 1989 - June 13, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
California(7/7/2015)
RR
Connecticut(7/7/2015)
IAR
Connecticut(7/7/2015)
RR
Delaware(4/15/2019)
RR
Florida(7/7/2015)
RR
Georgia(9/27/2021)
RR
Idaho(7/7/2015)
RR
Massachusetts(7/7/2015)
RR
Montana(8/12/2025)
RR
New Hampshire(7/7/2015)
IAR
New Hampshire(7/7/2015)
RR
New Jersey(7/7/2015)
RR
New York(7/7/2015)
IAR
New York(5/26/2021)
RR
North Carolina(8/9/2016)
RR
Ohio(5/13/2021)
RR
Rhode Island(11/20/2024)
RR
South Carolina(9/28/2022)
RR
Texas(4/9/2025)
IAR
Texas(4/9/2025)
RR
Utah(1/31/2025)
RR
Virginia(5/1/2023)
RR
West Virginia(7/7/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
