MB
Matthew H. Bagley
STIFEL, NICOLAUS & COMPANY
New York, NY 10019
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CRD#: 2451647
MB
Professional summary
Matthew H Bagley, who also goes by Matt Bagley, Matthew Henry Bagley, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1994. Matthew has worked at 12 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Matt Bagley | Matthew Henry Bagley
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 Matthew H Bagley'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 2, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 787 7th Avenue, New York, NY 10019Office #2: 677 Washington Blvd. 9th Floor, Stamford, CT 06901RIA
BD
CRD#: 793
New York, NY
Past
May 18, 2017 - October 12, 2018
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
October 5, 2015 - May 17, 2017
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
August 16, 2010 - September 23, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 24, 2006 - August 13, 2010
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
March 9, 2005 - April 13, 2006
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
June 4, 2002 - April 4, 2005
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
September 23, 1998 - January 8, 2002
SCOTIA CAPITAL (USA) INC.
BD
CRD#: 2739
NEW YORK, NY
Past
November 8, 1995 - July 21, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
December 1, 1994 - November 22, 1995
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
June 8, 1994 - September 1, 1995
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
February 23, 1994 - April 11, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Connecticut(9/11/2025)
RR
New York(10/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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.
