ER
Eric S. Richter
STIFEL, NICOLAUS & COMPANY
Garden City, NY 11530
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CRD#: 2072599
ER
Professional summary
Eric Shawn Richter, AIF® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Garden City, New York.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 6 firms and has passed the Series 65, Series 63, Series 72, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. The Chemotherapy Foundation; 183 Madison Avenue, Suite 403, New York, NY 10016; Fund raising for cancer research; Trustee; Fund raising; 01/01/2008; 2hrs/week; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Eric Shawn Richter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Shawn Richter'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®
Experience
Current
November 12, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
Garden City, NY
Current
July 10, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
Garden City, NY
Past
January 16, 2003 - July 10, 2007
RYAN BECK & CO.
BD
CRD#: 3248
UNIONDALE, NY
Past
September 30, 1999 - January 14, 2003
LIGHTSPEED PROFESSIONAL TRADING LLC
BD
CRD#: 39293
NEW YORK, NY
Past
June 28, 1996 - August 20, 1999
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
July 22, 1995 - August 23, 1999
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
June 12, 1995 - July 5, 1995
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
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.
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(7/10/2007)
RR
California(7/10/2007)
RR
Colorado(9/22/2015)
RR
Connecticut(7/10/2007)
RR
Delaware(5/15/2019)
RR
District of Columbia(2/24/2020)
RR
Florida(7/10/2007)
RR
Georgia(9/18/2018)
RR
Illinois(7/10/2007)
RR
Indiana(5/24/2016)
RR
Louisiana(1/13/2021)
RR
Maine(11/17/2023)
RR
Maryland(1/6/2016)
RR
Massachusetts(7/10/2007)
RR
Missouri(12/4/2023)
RR
New Jersey(7/10/2007)
RR
New York(7/10/2007)
IAR
New York(5/26/2021)
RR
North Carolina(1/29/2010)
RR
Ohio(1/6/2014)
RR
Oregon(2/23/2018)
RR
Pennsylvania(7/10/2007)
RR
South Carolina(2/21/2013)
RR
Texas(12/1/2010)
IAR
Texas(1/31/2018)
RR
Vermont(1/5/2017)
RR
Virginia(1/31/2008)
RR
Washington(1/9/2019)
RR
Wisconsin(4/8/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/23/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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#: 793Garden City, NY 11530TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
