JF
Jonathan J. Forbes
STIFEL, NICOLAUS & COMPANY
Denver, CO 80202
Some features on this profile are disabled
CRD#: 2279548
JF
Professional summary
Jonathan James Forbes, who also goes by Jonathan J Forbes, Jonathan James Forbes, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Denver, Colorado.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1994. Jonathan has worked at 7 firms and has passed the Series 63, Series 50, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan J Forbes | Jonathan James Forbes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan James Forbes'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
October 31, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1401 Lawrence Street Suite 900, Denver, CO 80202RIA
BD
CRD#: 793
Denver, CO
Past
May 8, 2013 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENWOOD VILLAGE, CO
Past
October 1, 2008 - April 10, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DENVER, CO
Past
January 11, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
DENVER, CO
Past
January 16, 2006 - November 27, 2007
UBS SECURITIES LLC
BD
CRD#: 7654
DENVER, CO
Past
January 18, 2001 - January 16, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 12, 1999 - November 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 4, 1994 - July 21, 1994
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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.
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
Alabama(9/8/2023)
RR
Arizona(9/8/2023)
RR
Arkansas(9/8/2023)
RR
California(9/8/2023)
RR
Colorado(7/6/2023)
RR
Connecticut(9/8/2023)
RR
Delaware(9/8/2023)
RR
District of Columbia(9/8/2023)
RR
Florida(9/8/2023)
RR
Georgia(9/8/2023)
RR
Hawaii(9/8/2023)
RR
Idaho(9/8/2023)
RR
Illinois(9/8/2023)
RR
Indiana(9/8/2023)
RR
Iowa(9/8/2023)
RR
Kansas(9/8/2023)
RR
Kentucky(9/8/2023)
RR
Louisiana(9/8/2023)
RR
Maine(9/8/2023)
RR
Maryland(9/8/2023)
RR
Massachusetts(9/8/2023)
RR
Michigan(9/8/2023)
RR
Minnesota(9/8/2023)
RR
Mississippi(9/8/2023)
RR
Missouri(9/8/2023)
RR
Montana(9/8/2023)
RR
Nebraska(9/8/2023)
RR
Nevada(9/8/2023)
RR
New Hampshire(9/8/2023)
RR
New Jersey(9/8/2023)
RR
New Mexico(9/8/2023)
RR
New York(9/8/2023)
RR
North Carolina(9/13/2023)
RR
Ohio(9/8/2023)
RR
Oklahoma(9/8/2023)
RR
Oregon(9/8/2023)
RR
Pennsylvania(9/8/2023)
RR
Puerto Rico(9/8/2023)
RR
Rhode Island(9/8/2023)
RR
South Carolina(9/8/2023)
RR
Tennessee(9/8/2023)
RR
Texas(9/8/2023)
RR
Utah(9/8/2023)
RR
Vermont(9/8/2023)
RR
Virgin Islands(9/8/2023)
RR
Virginia(9/8/2023)
RR
Washington(9/8/2023)
RR
West Virginia(9/8/2023)
RR
Wisconsin(9/8/2023)
RR
Wyoming(9/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/31/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
