BC
Bruce A. Chappell
STIFEL, NICOLAUS & COMPANY
Wilmington, NC 28403
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CRD#: 2471281
BC
Professional summary
Bruce Arnold Chappell JR, who also goes by Bruce Chappell Jr, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Wilmington, North Carolina.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Bruce has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce Chappell Jr
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. High Tide Cessna, LLC;4345 Airport Rd Southport NC; Own eqptmnt; Mbr; 1/1/17;1 Hr/Qtr;NtDurSecTrdHrs;InvRel 2. Westfall 36 Acre, LLC; 6401 Quail Run Rd Wilmington NC; Real Est; Mgr;1/1/10;1 Hr/Mnth;NtDurSecTrdHrs;InvRel 3. Harborside LLC;Greenville Ave Wilmington NC; Real Est; Mbr; 1/1/00;1 Hr/Yr;NtDurSecTrdHrs;InvRel 4. RTGC Properties,LLC;6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/98; 1 Hr/Qtr;NtDurSecTrdHrs;InvRel 5. TCT of Wilmington, LLC; 6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/97; 1 Hr/Qtr;NtDurSecTrdHrs;InvRel 6. Renaissance Courtyard LLC;6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/05; 2 Hrs/Mnth;NtDurSecTrdHrs; nvRel 7. Renaissance One, LLC;6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/99; 3 Hrs/Mnth;NtDurSecTrdHrs;InvRel 8. Autumn Hall 40 Acres, LLC;6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/10; 1 Hr/Mnth;NtDurSecTrdHrs;InvRel 9. Beech Baron, LLC;6401 Quail Run Rd Wilmington NC; Own equipment; Mgr; 1/1/05; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 10. 70 x 57 Hangers, LLC;6401 Quail Run Rd Wilmington NC; Owns a hanger; Mgr; 1/1/16; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 11. TF Holdings GP, LLC;6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/05; 1 Hr/Mnth;NtDurSecTrdHrs;InvRel 12. Renaissance 2, LLC;1022 Ashes Dr Wilmington NC; Real Est; Mgr; 1/1/17; 1 Hr/Mnth;NtDurSecTrdHrs;InvRel 13. Novant Building LLC;6401 Quail Run Rd Wilmington NC; Real Est; Mgr; 1/1/10; 1 Hr/Mnth;NtDurSecTrdHrs;InvRel 14. Dansura,LLC;Oleander Dr Wilmington NC;Real Est; Mgr; 1/1/10;1 Hr/Qtr;NtDurSecTrdHrs;InvRel 15. Thomas Construction Group;1022 Ashes Dr Wilmington NC; Construction; CFO; Finance; 1/1/05;10 Hrs/Wk;DurSecTrdHrs;NoInvRel 16. Quail Woods Boating Facility;6401 Quail Run Rd Wilmington NC; Lot with boat ramp and dock; Pres;1/1/14;1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 17. Thomas Equipment,LLC;1022 Ashes Dr Wilmington NC; Construction; Mbr; Mgr; 12/3/20;1 Hr/Wk;NtDurSecTrdHrs;NoInvRel 18. Thomas Construction LP;1022 Ashes Dr Wilmington NC;Construction;Ltd prtnr; Mgr; 12/3/20; 5 Hrs/Wk;DurSecTrdHrs; NoInvRel 19. Ammo Dump/Lake + 9,LLC;6401 Quail Run Rd Wilmington NC; Holding Comp; Mgr; 12/21/20; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 20. N1431M, LLC; 4345 Airport Rd Southport NC; Owns equipment;Mbr/Mgr;Owner; 4/19/21;0 Hrs/Day;NtDurSecTrdHrs;NoInvRel 21. TC Investment Group,LLC;1022 Ashes Dr Wilmington NC;Asset holding Comp; Mbr/Mgr; Manage inv; 09/15/2021; 1 Hr/Mnth;NtDurSecTrdHrs;nvRel 22. Autumn Hall Building 3,LLC;6336 Oleander Dr Wilmington NC;Real Est; Mgr; Adv;1/20/22;1Hr/Mnth;NtDurSecTrdHrs;InvRel 23. Autumn Hall Building 2, LLC;6336 Oleander Dr Wilmington NC;Real Est; Mgr; Adv;1/20/22;1Hr/Mnth;NtDurSecTrdHrs;InvRel 24. Autumn Hall Building 1,LLC;6336 Oleander Dr Wilmington NC; Real Est; Mgr; Adv;1/20/22;1 Hr/Mnth;NtDurSecTrdHrs;InvRel 25. FPTower Inc;15711 Clems Creek Ln 1322 Charloette NC; Historic Pres; Brd Mbr; Adv; 1/3/22;2 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 26. N4457S LLC;4345 Airport Rd, Southport, NC; Owns equipmnt; Mbr/Mgr; 8/20/22;1 Hr/Mnth;NtDurSecTrdHrs;NotInvRel 27. Moore Road Property,LLC;2005 Eastwood Rd Wilmington, NC; timber farm; Mbr/Mgr; 2/1/23; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 28. Autumn Hall Investments,LLC; 6401 Quail Run Rd,Wilmington NC;Real Estate;Mgr;1/2/23;1hr/mo;NtDurSecTrdHrs;Inv Rel 29. N531Q, LLC; 6401 Quail Run Rd Wilmington, NC ; owns equipment;Member/Mgrof LLC; owner;1/18/24;0 hrs/day;NtDurSecTrdHrs;NoInvRel 30. TCG Holding Company; 1022 Ashes Dr Wilmington NC; S Corp Holding Company; Member/Mgr;3/13/10;0 hrs/day;NtDurSecTrdHrs;Inv Rel 31. TF Holdings LP; 6401 Quail Run Rd Wilmington NC;Real Est holding; general ptr; 6/24/24;NtDurSecTrdHrs;Inv Rel 32. Thomas/Pinewood, LLC; Wilmington NC; Real Estate; Member/Mgr; 6/2/25; 1 hr/mth; ;NtDurSecTrdHrs;Inv Rel
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Arnold Chappell JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Arnold Chappell JR'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
June 4, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2005 Eastwood Road Suite 102, Wilmington, NC 28403RIA
BD
CRD#: 793
Wilmington, NC
Current
June 4, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2005 Eastwood Road Suite 102, Wilmington, NC 28403RIA
BD
CRD#: 793
Wilmington, NC
Past
October 23, 1997 - June 5, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILMINGTON, NC
Past
May 11, 1994 - June 5, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILMINGTON, NC
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(6/15/2020)
RR
Arizona(6/4/2020)
RR
California(6/4/2020)
RR
Colorado(6/4/2020)
RR
District of Columbia(6/4/2020)
RR
Florida(6/4/2020)
RR
Georgia(6/4/2020)
RR
Maine(6/5/2020)
RR
Maryland(6/4/2020)
RR
Michigan(3/14/2024)
RR
Minnesota(10/17/2022)
RR
Missouri(7/29/2020)
RR
New Jersey(6/4/2020)
RR
New York(6/4/2020)
RR
North Carolina(6/4/2020)
IAR
North Carolina(6/4/2020)
RR
Ohio(10/18/2022)
RR
Pennsylvania(6/4/2020)
RR
South Carolina(6/4/2020)
RR
Tennessee(6/4/2020)
RR
Texas(6/4/2020)
IAR
Texas(6/4/2020)
RR
Utah(8/30/2022)
RR
Virginia(6/4/2020)
RR
Wisconsin(2/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 793Wilmington, NC 28403TRUST BUT VERIFY
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