Robert S. Moffat
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Stanley Moffat, who also goes by Rob Moffat, Robert Stanly Moffat, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 11 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2011 - September 21, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 8, 2011 - September 21, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2008 - November 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 31, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 15, 1996 - April 14, 1997
FIRST VARIABLE CAPITAL SERVICES, INC.
May 10, 1995 - December 31, 1996
USLIFE EQUITY SALES CORP.
March 3, 1992 - June 17, 1993
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 2, 1991 - January 31, 1992
EDWARD JONES
April 23, 1991 - July 10, 1991
IDS LIFE INSURANCE COMPANY
April 23, 1991 - July 10, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
November 30, 1990 - April 3, 1991
CHATFIELD DEAN & CO., INC.
October 25, 1990 - December 4, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
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.
