AL
Anthony S. Lemone
STIFEL, NICOLAUS & COMPANY
BOSTON, MA 02110
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CRD#: 2013148
AL
Professional summary
Anthony Scott Lemone, who also goes by Scott Lemone, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Boston, Massachusetts.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1991. Anthony has worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Lemone
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) - BD
Click below to view Anthony Scott Lemone'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
May 19, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 125 High Street, Boston, MA 02110RIA
BD
CRD#: 793
BOSTON, MA
Past
March 8, 2024 - May 19, 2025
TD SECURITIES (USA) LLC
BD
CRD#: 18476
Boston, MA
Past
September 9, 2016 - April 10, 2024
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
July 9, 2014 - August 2, 2016
MORGAN JOSEPH TRIARTISAN LLC
BD
CRD#: 10948
NEW YORK, NY
Past
July 30, 2013 - July 14, 2014
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
August 2, 2011 - May 30, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BOSTON, MA
Past
December 12, 2008 - January 13, 2011
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
October 12, 2007 - December 12, 2008
RBS SECURITIES CORPORATION
BD
CRD#: 118936
NEW YORK, NY
Past
May 9, 2006 - September 26, 2007
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
GREENWICH, CT
Past
April 7, 2005 - May 10, 2006
JEFFERIES LLC
BD
CRD#: 2347
STAMFORD, CT
Past
May 23, 2003 - April 12, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 23, 1996 - May 2, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 7, 1995 - April 16, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 2, 1991 - January 17, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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.
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(7/9/2025)
RR
Alaska(5/22/2025)
RR
Arizona(6/12/2025)
RR
Arkansas(7/29/2025)
RR
Colorado(7/9/2025)
RR
Connecticut(5/20/2025)
RR
Delaware(7/1/2025)
RR
District of Columbia(6/13/2025)
RR
Florida(6/16/2025)
RR
Georgia(6/17/2025)
RR
Hawaii(7/3/2025)
RR
Idaho(6/25/2025)
RR
Illinois(11/3/2025)
RR
Indiana(6/11/2025)
RR
Iowa(5/19/2025)
RR
Kansas(6/10/2025)
RR
Kentucky(6/26/2025)
RR
Louisiana(6/10/2025)
RR
Maine(6/11/2025)
RR
Massachusetts(6/10/2025)
RR
Michigan(6/26/2025)
RR
Minnesota(6/10/2025)
RR
Mississippi(6/10/2025)
RR
Missouri(6/24/2025)
RR
Montana(5/22/2025)
RR
Nebraska(5/19/2025)
RR
Nevada(6/10/2025)
RR
New Hampshire(6/17/2025)
RR
New Jersey(5/19/2025)
RR
New Mexico(6/11/2025)
RR
New York(5/19/2025)
RR
North Carolina(6/11/2025)
RR
North Dakota(7/21/2025)
RR
Ohio(5/20/2025)
RR
Oklahoma(6/17/2025)
RR
Oregon(10/6/2025)
RR
Pennsylvania(5/20/2025)
RR
Puerto Rico(6/16/2025)
RR
Rhode Island(6/25/2025)
RR
South Carolina(6/16/2025)
RR
South Dakota(6/16/2025)
RR
Tennessee(6/10/2025)
RR
Utah(6/13/2025)
RR
Vermont(6/18/2025)
RR
Virgin Islands(6/16/2025)
RR
Virginia(6/10/2025)
RR
Washington(6/17/2025)
RR
West Virginia(6/12/2025)
RR
Wisconsin(6/12/2025)
RR
Wyoming(5/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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#: 793Boston, MA 02110TRUST BUT VERIFY
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