TD
Toni L. Dobel
STIFEL, NICOLAUS & COMPANY
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2488044
TD
Professional summary
Toni Lyn Dobel, who also goes by Tonette Lyn Dobel, Toni L Pitto, Toni Lyn Pitto, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in San Francisco, California.
Toni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Toni has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tonette Lyn Dobel | Toni L Pitto | Toni Lyn Pitto
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. University of San Francisco; 2130 Fulton Street San Francisco CA 94117; Education; Advisor for Women in Leadership Certificate Program; review curriculum, offer course recommendations, advocate for the program; 03/13/2024; 2.00hrs/month; Not during securities trading hours; Not Investment-Related 2. Archbishop Riordan High School;175 Frida Khalo Way San Francisco, CA 94112; private high school; Crab Feed Volunteer Budget Committee Chair; keep track of expenses spent for the event, update spreadsheet, report as necessary at committee meetings, request money for cash boxes from finance department, assist in collecting and counting cash; 10/10/2025; 1hr/wk; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Toni Lyn Dobel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Toni Lyn Dobel'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 5, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
San Francisco, CA
Current
March 1, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
San Francisco, CA
Past
August 1, 2000 - March 1, 2012
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
May 4, 2000 - June 22, 2000
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 1, 1997 - July 8, 1998
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
September 19, 1996 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
Past
May 31, 1994 - August 28, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(3/1/2012)
RR
Alaska(3/1/2012)
RR
Arizona(3/1/2012)
RR
Arkansas(3/1/2012)
RR
California(3/1/2012)
IAR
California(10/5/2021)
RR
Colorado(3/1/2012)
RR
Connecticut(3/1/2012)
RR
Delaware(3/1/2012)
RR
District of Columbia(3/1/2012)
RR
Florida(3/1/2012)
RR
Georgia(3/1/2012)
RR
Hawaii(3/1/2012)
RR
Idaho(3/1/2012)
RR
Illinois(3/1/2012)
RR
Indiana(3/1/2012)
RR
Iowa(3/1/2012)
RR
Kansas(3/1/2012)
RR
Kentucky(3/1/2012)
RR
Louisiana(3/1/2012)
RR
Maine(3/1/2012)
RR
Maryland(3/1/2012)
RR
Massachusetts(3/1/2012)
RR
Michigan(3/1/2012)
RR
Minnesota(3/1/2012)
RR
Mississippi(3/1/2012)
RR
Missouri(3/1/2012)
RR
Montana(3/1/2012)
RR
Nebraska(3/1/2012)
RR
Nevada(3/1/2012)
RR
New Hampshire(3/1/2012)
RR
New Jersey(3/1/2012)
RR
New Mexico(3/1/2012)
RR
New York(3/1/2012)
RR
North Carolina(3/1/2012)
RR
North Dakota(3/1/2012)
RR
Ohio(3/1/2012)
RR
Oklahoma(3/1/2012)
RR
Oregon(3/1/2012)
RR
Pennsylvania(3/1/2012)
RR
Puerto Rico(3/1/2012)
RR
Rhode Island(3/1/2012)
RR
South Carolina(3/1/2012)
RR
South Dakota(3/1/2012)
RR
Tennessee(3/1/2012)
RR
Texas(3/1/2012)
IAR
Texas(10/7/2021)
RR
Utah(3/1/2012)
RR
Vermont(3/1/2012)
RR
Virgin Islands(5/26/2021)
RR
Virginia(3/1/2012)
RR
Washington(3/1/2012)
RR
West Virginia(3/1/2012)
RR
Wisconsin(3/1/2012)
RR
Wyoming(3/1/2012)
Exams
State Security Law 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#: 793San Francisco, CA 94104TRUST BUT VERIFY
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Contact information
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