CK
Carroll J. Klotz
STIFEL INDEPENDENT ADVISORS
JOLIET, IL 60435
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CRD#: 2070334
CK
Professional summary
Carroll Jean Klotz, who also goes by Carroll J Schmitz, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Joliet, Illinois.
Carroll is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Carroll has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carroll J Schmitz
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) - RIA
Click below to view Carroll Jean Klotz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carroll Jean Klotz'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
January 17, 2024 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2801 Black Road Suite 101, Joliet, IL 60435RIA
BD
CRD#: 28218
JOLIET, IL
Current
January 17, 2024 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2801 Black Road Suite 101, Joliet, IL 60435RIA
BD
CRD#: 28218
JOLIET, IL
Past
September 28, 2018 - January 31, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
JOLIET, IL
Past
September 28, 2018 - January 31, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
JOLIET, IL
Past
June 28, 2018 - September 28, 2018
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
JOLIET, IL
Past
June 21, 2013 - September 28, 2018
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
JOLIET, IL
Past
May 2, 2005 - July 19, 2013
STOFAN, AGAZZI & COMPANY, INC.
BD
CRD#: 7596
JOLIET, IL
Past
July 18, 2003 - May 3, 2005
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
CHICAGO, IL
Past
October 29, 2001 - May 3, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
August 21, 2001 - October 17, 2001
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
October 27, 1998 - August 22, 2001
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
March 3, 1998 - November 2, 1998
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
December 15, 1997 - February 25, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 15, 1997 - February 25, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)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
Arizona(1/17/2024)
RR
Colorado(1/17/2024)
RR
Florida(1/17/2024)
RR
Illinois(1/17/2024)
IAR
Illinois(1/17/2024)
RR
Indiana(1/17/2024)
RR
Kentucky(1/17/2024)
RR
Michigan(1/17/2024)
RR
North Carolina(1/17/2024)
RR
Ohio(1/17/2024)
RR
South Carolina(1/17/2024)
RR
Texas(1/17/2024)
IAR
Texas(1/17/2024)
RR
Washington(2/1/2024)
RR
Wisconsin(1/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
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 INDEPENDENT ADVISORS, LLC
CRD#: 28218Joliet, IL 60435TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
