LD
Luke Donenfeld
STIFEL, NICOLAUS & COMPANY
Hauppauge, NY 11788
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CRD#: 2490912
LD
Professional summary
Luke Donenfeld is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Hauppauge, New York.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Luke has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 50, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Coastwise Realty Inc., 14 Corn Hill Landing Truro, MA 02666; Rental property that will also be for sale; President; Manage the property until sold; 01/20/2020; 0.5 Hours per Day; During Securities Trading Hours; Investment-Related. 2. Harry Donenfeld Foundation; 8 Tudor Circle Yorktown Heights NY 10598; Charity; Treasurer; Review the fee based investment account; 01/01/2015; 2.00hrs/month; During Securities Trading Hours; Not Investment-Related. 3. Coastwise Realty Co LLC; 6 Bonnie Brook Road Westport CT 06880; Single family, annual rental property; President; Collect rents and maintain property; 06/01/2014; 12 hrs/year; Not during security trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Luke Donenfeld's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luke Donenfeld'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
March 22, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 100 Motor Parkway 2nd Floor, Hauppauge, NY 11788RIA
BD
CRD#: 793
Hauppauge, NY
Current
March 15, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 100 Motor Parkway 2nd Floor, Hauppauge, NY 11788RIA
BD
CRD#: 793
Hauppauge, NY
Past
May 4, 2012 - January 10, 2019
FIRST EMPIRE ASSET MANAGEMENT, INC
RIA
CRD#: 134411
HAUPPAUGE, NY
Past
April 30, 2012 - March 15, 2019
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
Past
April 3, 2007 - July 13, 2011
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
MELVILLE, NY
Past
April 3, 2007 - July 13, 2011
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
MELVILLE, NY
Past
June 30, 2004 - July 9, 2004
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NY, NY
Past
June 30, 2004 - August 15, 2005
BEAR STEARNS ASSET MANAGEMENT INC.
RIA
CRD#: 113359
NEW YORK, NY
Past
February 17, 1999 - August 15, 2005
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 8, 1998 - March 9, 1999
BISYS SHELF B/D (1), INC.
BD
CRD#: 26501
BOSTON, MA
Past
September 1, 1997 - May 21, 1998
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
June 14, 1994 - June 18, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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
California(3/15/2019)
RR
Colorado(3/15/2019)
RR
Connecticut(3/15/2019)
RR
Florida(3/15/2019)
RR
Illinois(3/15/2019)
RR
Massachusetts(3/15/2019)
RR
Minnesota(3/15/2019)
RR
New Jersey(3/15/2019)
RR
New Mexico(10/24/2023)
RR
New York(3/15/2019)
IAR
New York(5/26/2021)
RR
Ohio(3/15/2019)
RR
Oklahoma(3/15/2019)
RR
Oregon(3/15/2019)
RR
Pennsylvania(3/15/2019)
RR
Texas(3/15/2019)
IAR
Texas(3/22/2019)
RR
Virginia(9/24/2024)
RR
Wyoming(11/14/2024)
Exams
State Security Law Exam
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
General 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.
