CR
Cindi R. Rand
STIFEL, NICOLAUS & COMPANY
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 2417592
CR
Professional summary
Cindi Rupp Rand, who also goes by Cindi Rupp, Cindy M Rupp, Cindy M. Rupp, Cindy Rupp, Cindi Rupprand, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Morristown, New Jersey.
Cindi is registered as a RR (Registered Representative) and started their career in finance in 1994. Cindi has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cindi Rupp | Cindy M Rupp | Cindy M. Rupp | Cindy Rupp | Cindi Rupprand
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 Cindi Rupp Rand'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
April 22, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 305 Madison Avenue, Morristown, NJ 07960RIA
BD
CRD#: 793
Morristown, NJ
Past
April 1, 2011 - December 17, 2019
ICBA SECURITIES
BD
CRD#: 24088
MIDDLESEX, NJ
Past
December 22, 2000 - April 22, 2022
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
MIDDLESEX, NJ
Past
October 5, 2000 - November 27, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 1, 1999 - August 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 23, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
January 2, 1998 - October 16, 1998
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
May 19, 1997 - January 2, 1998
SUNTRUST CAPITAL MARKETS, INC.
BD
CRD#: 36888
ATLANTA, GA
Past
February 18, 1994 - May 12, 1997
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
Arkansas(1/4/2023)
RR
California(4/22/2022)
RR
Colorado(4/22/2022)
RR
Connecticut(4/22/2022)
RR
Delaware(4/22/2022)
RR
Florida(1/3/2023)
RR
Georgia(4/22/2022)
RR
Illinois(3/22/2023)
RR
Louisiana(4/22/2022)
RR
Massachusetts(4/22/2022)
RR
Michigan(4/22/2022)
RR
Minnesota(8/23/2023)
RR
Nevada(4/22/2022)
RR
New Jersey(4/22/2022)
RR
New York(4/22/2022)
RR
North Carolina(4/22/2022)
RR
Ohio(1/4/2023)
RR
Oklahoma(4/22/2022)
RR
Pennsylvania(4/22/2022)
RR
Texas(4/22/2022)
RR
Utah(4/22/2022)
RR
Vermont(4/22/2022)
RR
Virginia(8/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
