Jack W. Frid
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.
Jack Wayne Frid was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1970. Jack had worked at 11 firms and has passed the Series 63, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2004 - November 9, 2016
STIFEL INDEPENDENT ADVISORS, LLC
June 29, 2004 - July 14, 2004
STIFEL INDEPENDENT ADVISORS, LLC
September 7, 2000 - July 27, 2004
COLLIERS SECURITIES LLC
January 23, 1995 - September 7, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 26, 1992 - January 23, 1995
MJK CLEARING, INC.
September 4, 1990 - August 8, 1992
WELLS FARGO CLEARING SERVICES, LLC
May 2, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 12, 1987 - April 25, 1988
TUCKER ANTHONY INCORPORATED
March 23, 1982 - January 2, 1987
DAIN RAUSCHER INCORPORATED
February 2, 1977 - March 17, 1982
CRAIG-HALLUM, INC.
February 2, 1973 - March 1, 1977
MARGOLIS & CO., INC.
October 8, 1970 - April 23, 1973
J SHAPIRO CO
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/17/1970
Registered Representative ExaminationSeries 00
Date: 3/1/1973
General Securities Principal ExaminationCurrent Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
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
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.
