ER
Elizabeth Reinke
STIFEL, NICOLAUS & COMPANY
Barrington, IL 60010
Some features on this profile are disabled
CRD#: 2409873
ER
Professional summary
Elizabeth Reinke, who also goes by Beth Bogseth, Elizabeth Ann Bogseth, Elizabeth A Reinke, Elizabeth Ann Reinke, Beth Smith, Elizaabeth Ann Smith, Elizabeth Ann Smith, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Barrington, Illinois.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Elizabeth has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Beth Bogseth | Elizabeth Ann Bogseth | Elizabeth A Reinke | Elizabeth Ann Reinke | Beth Smith | Elizaabeth Ann Smith | Elizabeth Ann Smith
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; 1904 Sleepy Hollow Rd Sleepy Hollow IL 60118; Owner; 4/15/08; 0 hr/day; Not During Securities Trading Hours; Investment-Related.
2. Rental Home; 1904 Sleepy Hollow Rd Sleepy Hollow, IL 60118; Owner; Maintenance, income, and taxes; 08/15/2001; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.
3. Sleepy Hollow Rental Home; 1904 Sleepy Hollow Road, Sleepy Hollow, IL 60118; Home Rental; Owner; Management upkeep of property; 08/15/2002; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Reinke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Reinke'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
November 21, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 257 East Main Street, Barrington, IL 60010RIA
BD
CRD#: 793
Barrington, IL
Current
November 8, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 257 East Main Street, Barrington, IL 60010RIA
BD
CRD#: 793
Barrington, IL
Past
June 1, 2009 - November 11, 2019
MORGAN STANLEY
RIA
CRD#: 149777
BARRINGTON, IL
Past
June 1, 2009 - November 11, 2019
MORGAN STANLEY
BD
CRD#: 149777
BARRINGTON, IL
Past
October 24, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BARRINGTON, IL
Past
October 24, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BARRINGTON, IL
Past
September 20, 2007 - October 14, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BARRINGTON, IL
Past
September 20, 2007 - October 14, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BARRINGTON, IL
Past
March 5, 2007 - October 4, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BARRINGTON, IL
Past
March 5, 2007 - October 4, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BARRINGTON, IL
Past
September 28, 2006 - February 24, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BARRINGTON, IL
Past
September 28, 2006 - February 24, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BARRINGTON, IL
Past
December 9, 2005 - August 30, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BARRINGTON, IL
Past
May 19, 2000 - August 30, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BARRINGTON, IL
Past
October 15, 1998 - May 26, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 30, 1995 - August 24, 1998
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
MIAMI, FL
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
Alabama(6/26/2024)
RR
Alaska(6/26/2024)
RR
Arizona(6/26/2024)
RR
California(6/26/2024)
RR
Colorado(6/26/2024)
RR
Connecticut(6/26/2024)
RR
Florida(6/26/2024)
RR
Georgia(6/26/2024)
RR
Idaho(6/26/2024)
RR
Illinois(11/21/2019)
IAR
Illinois(11/21/2019)
RR
Indiana(6/26/2024)
RR
Iowa(6/26/2024)
RR
Kentucky(6/26/2024)
RR
Louisiana(6/26/2024)
RR
Maryland(6/26/2024)
RR
Michigan(6/26/2024)
RR
Minnesota(6/26/2024)
RR
Missouri(6/26/2024)
RR
Nevada(6/26/2024)
RR
New Hampshire(6/26/2024)
RR
New Jersey(6/26/2024)
RR
New York(6/26/2024)
RR
North Carolina(6/27/2024)
RR
Ohio(6/27/2024)
RR
Oklahoma(6/26/2024)
RR
Oregon(6/26/2024)
RR
Pennsylvania(6/26/2024)
RR
Texas(6/26/2024)
RR
Virginia(6/26/2024)
RR
Washington(6/26/2024)
RR
Wisconsin(6/26/2024)
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
Cboe BZX Exchange, Inc.
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#: 793Barrington, IL 60010TRUST BUT VERIFY
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