PN
Paul A. Novelly
STIFEL INDEPENDENT ADVISORS
Clayton, MO 63105
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CRD#: 2131260
PN
Professional summary
Paul Anthony Novelly II, who also goes by Pa Novelly, Paul Novelly, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Clayton, Missouri.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Paul has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pa Novelly | Paul Novelly
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. St. Ablans Properties, LLC; 3476 St. Ablans Road St. Ablans MO 63073; Real estate development; Trust is member; Family owned business; 01/01/1993; 3.00 Hour(s) Per Week; during securities trading hours; Investment-Related. 2. Apex Oil Company, Inc.; 8235 Forsyth Blvd, Ste 400 St. Louis MO 63105; Oil trading, storage terminals, commercial office buildings; Director, Vice President; 01/01/2008; 10.00 Hour(s) Per Week; during securities trading hours; Investment-Related. 3. NC Investments, LLC; 8235 Forsyth Blvd., Ste 210 St. Louis MO 63105; Commercial building management & investments; President, Family owned business; 01/01/2008; 5.00 Hour(s) Per Week; during securities trading hours; Investment-Related. 4. SAGM Holdings, LLC; 8235 Forsyth Blvd., Ste 400 St. Louis MO 63105; Investments & management services; Manager; President; 01/01/2003; 10.00 Hour(s) Per Week; during securities trading hours; Investment-Related 5. St. Albans Construction Company; 3191 St. Albans Road St. Ablans MO 63073; Residential construction; Director; President; 01/01/1993; 5.00 Hour(s) Per Week; during securities trading hours; Not Investment-Related. 6. Apex Oil Charitable Foundation; 8235 Forysht Blvd., Sute 400 St. Louis MO 63105; 501(c)(3) charitable foundation; Director of foundation; 01/01/2002; 0.50 Hour(s) Per Week; during securities trading hours; Not Investment-Related. 7. P.A.N. Enterprises, Inc; 8235 Forsyth Blvd, Clayton, MO 63105; Investment company; Director; 12/30/1980; 5 Hours per Year; During Securities Trading Hours; Investment-Related. 8. St Albans Global Management LLC; 8235 Forsyth Blvd.; #400, Clayton, MO 63105; Investment entity; Managing Member; 01/02/2012; 15 Hours per Week; During securities trading hours; Investment-Related. 9. Future Fuel Corp; 8235 Forsyth Blvd Clayton MO 63105; Chemical Co; Board Member; 7/11/2022; 10 hours per month; During securities trading hours; not inv related 10. Prequel Investments, LLC; 8235 Forsyth Blvd STE 400, Clayton, MO 63105; family entity used for co investing; manager; capital preservation; dvp transactions; 04/15/2023; 2 Hours per Week; During securities trading hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Anthony Novelly II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Anthony Novelly II'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 30, 2018 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 8235 Forsyth Boulevard Suite 307, Clayton, MO 63105RIA
BD
CRD#: 28218
Clayton, MO
Current
May 30, 2018 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 8235 Forsyth Boulevard Suite 307, Clayton, MO 63105RIA
BD
CRD#: 28218
Clayton, MO
Past
April 26, 2006 - June 11, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
CLAYTON, MO
Past
March 2, 2005 - June 11, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CLAYTON, MO
Past
April 1, 1993 - March 3, 2005
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
November 4, 1991 - July 13, 1993
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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
Illinois(1/2/2020)
RR
Missouri(5/30/2018)
IAR
Missouri(5/30/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| 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 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
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 | ||
| 11/28/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218Clayton, MO 63105TRUST BUT VERIFY
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Contact information
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