SS
Stanley F. Stockhammer
STIFEL, NICOLAUS & COMPANY
Daytona Beach, FL 32117
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CRD#: 2355722
SS
Professional summary
Stanley F Stockhammer, AIF®, CFP®, who also goes by Stan Stockhammer, Stanley F Stockhammer III, Stanley Francis Stockhammer III, Iii Stanley Stockhammer Iii Iii, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Daytona Beach, Florida.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stanley has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Retirement Income Management
Education Planning
Are you a "fiduciary"?
Yes
Aliases
Stan Stockhammer | Stanley F Stockhammer Iii | Stanley Francis Stockhammer Iii | Iii Stanley Stockhammer Iii Iii
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. Rental Property; 915 Ocean Shore Blvd Unit 104 Ormond Beach FL 32174; Owner; 01/01/2014; 0 hours per month; not during securities trading hours; investment-related. 2. The Shoreham Beach Association, Inc; PO Box 4257 Ormond Beach FL 32175; Condominium Association; Board Member; Attend Meetings and Provide input; 01/26/2018; 2.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related. 3. Rental Property; 20 Butternut Circle Ormond Beach, FL 32174; Rental; 03/02/2020; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related. 4. Investment Property; 854 Willow Run, Ormond Beach, FL 32174; Part owner; Pay mortgage; 08/01/2016; 0 Hours per Year; Not During Securities Trading Hours; Investment-Related. 5. Investment Property; 18 Woodland Circle, Ormond Beach, FL 32174; Owner ; Pay bills; 04/20/2022; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Stanley F Stockhammer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stanley F Stockhammer'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®
CFP®
Start date: 1997
Experience
Current
August 21, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: Cornerstone Office Park 1530 Cornerstone Blvd, Daytona Beach, FL 32117RIA
BD
CRD#: 793
Daytona Beach, FL
Current
August 14, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: Cornerstone Office Park 1530 Cornerstone Blvd, Daytona Beach, FL 32117RIA
BD
CRD#: 793
Daytona Beach, FL
Past
March 17, 2000 - August 15, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DAYTONA BEACH, FL
Past
March 17, 2000 - August 14, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DAYTONA BEACH, FL
Past
July 31, 1993 - March 23, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 9, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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.
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
Alaska(8/30/2024)
RR
Arizona(8/20/2018)
RR
Arkansas(3/26/2015)
RR
California(8/14/2009)
RR
Colorado(8/7/2019)
RR
Connecticut(8/14/2009)
RR
Florida(8/14/2009)
IAR
Florida(8/21/2009)
RR
Georgia(8/14/2009)
RR
Illinois(12/20/2023)
RR
Indiana(1/2/2020)
RR
Iowa(4/4/2023)
RR
Kansas(8/14/2009)
RR
Kentucky(9/28/2017)
RR
Louisiana(8/19/2019)
RR
Maine(8/14/2009)
RR
Maryland(8/14/2009)
RR
Massachusetts(8/14/2009)
RR
Michigan(4/4/2023)
RR
Minnesota(4/4/2023)
RR
Missouri(7/9/2019)
RR
Montana(8/11/2020)
RR
New Hampshire(8/14/2009)
RR
New Jersey(8/14/2009)
RR
New York(8/14/2009)
RR
North Carolina(8/14/2009)
RR
Ohio(8/14/2009)
RR
Oregon(6/16/2011)
RR
Pennsylvania(8/14/2009)
RR
Rhode Island(9/2/2025)
RR
South Carolina(3/3/2021)
RR
Tennessee(8/14/2009)
RR
Texas(8/10/2018)
IAR
Texas(8/10/2018)
RR
Utah(9/9/2025)
RR
Vermont(10/24/2024)
RR
Virginia(8/14/2009)
RR
Washington(8/18/2014)
RR
West Virginia(12/23/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Daytona Beach, FL 32117TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
