TS
Teia E. Stapleton
STIFEL, NICOLAUS & COMPANY
Indianapolis, IN
Some features on this profile are disabled
CRD#: 2083593
TS
Professional summary
Teia E Stapleton, who also goes by Teia Elaine Cadwallader, Teia Elaine Sebree, Teia Elaine Senzig, Teia Elaine Stapleton, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Indianapolis, Indiana.
Teia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Teia has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Teia Elaine Cadwallader | Teia Elaine Sebree | Teia Elaine Senzig | Teia Elaine Stapleton
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. Homeowner's Association Board; PO Box 10, Fishers, IN; Local homeowners association; Acting Secretary; Take notes at meetings & distribute notes to homeowners; 01/01/2006; 1 Hour per Quarter; Not during securities trading hours; 2. Mentoring Women's Network; 202 East Market St, Indianapolis, IN; Inspire, Mentor & Empower Women; Member; 04/01/2014; 2 Hours per Quarter; Not during securities trading hours. Not Investment-Related. 3. Pink Ribbon Connection; 1139 Shelby Street, Indianapolis, IN 46203; Not for profit - for breast cancer survivors; I'm on the board of directors; Help with fundraising and marketing; 04/11/2023; 7 Hours per Month; Not during securities trading hours. Not Investment-Related. 4. Isagenix; 155 E. Rivulon Blvd., Suite 104 Gilbert AZ 85297; Health and wellness/beauty; I would just be a rep. I am wanting to sign friends up so I can get discounts. I love their collagen and protein powder; No responsibilities. I joined as a customer and I have friends interested in the product and I can get discounts on the products I buy if I sign people up under me. Could also earn commissions; 08/10/2023; 2.00hrs\month; Not during securities trading hours; Not Investment-Related 5. Pink Ribbon Connection; 1139 Shelby Street Indianapolis, IN 46203; Provides free services to breast cancer survivors; Volunteer; Volunteer on the Finance Committee; 07/28/2025; 1hr/mth; During securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Teia E Stapleton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Teia E Stapleton'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
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 600 East 96th Street, Suite 575, Indianapolis, IN 46240RIA
BD
CRD#: 793
Indianapolis, IN
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 600 East 96th Street, Suite 575, Indianapolis, IN 46240RIA
BD
CRD#: 793
Indianapolis, IN
Past
February 23, 2006 - February 28, 2017
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
INDIANAPOLIS, IN
Past
August 14, 2000 - February 28, 2017
CITY SECURITIES CORPORATION
BD
CRD#: 1459
INDIANAPOLIS, IN
Past
September 3, 1999 - August 10, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 7, 1999 - September 22, 1999
RICHARD B. VANCE & COMPANY
BD
CRD#: 3656
JOLIET, IL
Past
March 5, 1999 - March 29, 1999
RICHARD B. VANCE & COMPANY
BD
CRD#: 3656
Past
January 19, 1994 - March 15, 1999
CITY SECURITIES CORPORATION
BD
CRD#: 1459
INDIANAPOLIS, IN
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(1/2/2018)
RR
Arkansas(5/2/2017)
RR
California(2/28/2017)
RR
Colorado(2/28/2017)
RR
Connecticut(3/20/2023)
RR
Delaware(8/11/2020)
RR
Florida(2/28/2017)
RR
Georgia(2/28/2017)
RR
Illinois(2/28/2017)
RR
Indiana(2/28/2017)
IAR
Indiana(2/28/2017)
RR
Iowa(2/28/2017)
RR
Kansas(1/12/2022)
RR
Kentucky(2/28/2017)
RR
Maine(9/17/2021)
RR
Maryland(2/25/2020)
RR
Massachusetts(2/25/2020)
RR
Michigan(2/25/2020)
RR
Mississippi(4/29/2019)
RR
Missouri(7/5/2024)
RR
Montana(2/25/2020)
RR
Nebraska(10/18/2021)
RR
Nevada(7/27/2017)
RR
New Jersey(2/28/2017)
RR
New York(2/28/2017)
RR
North Carolina(3/1/2017)
RR
Ohio(2/28/2017)
RR
Oregon(2/28/2017)
RR
Pennsylvania(2/17/2021)
RR
South Carolina(2/28/2017)
RR
Texas(2/28/2017)
IAR
Texas(12/1/2019)
RR
Utah(6/17/2024)
RR
Virginia(2/28/2017)
RR
Washington(2/28/2017)
RR
Wisconsin(2/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
