CS
Curtis R. Stalter
STIFEL, NICOLAUS & COMPANY
ST. LOUIS, MO 63102
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CRD#: 2521619
CS
Professional summary
Curtis Ray Stalter, who also goes by Curtis R Stalter, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Louis, Missouri and STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri.
Curtis is registered as a RR (Registered Representative) and started their career in finance in 1999. Curtis has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 8 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Curtis R Stalter
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. THE LANDINGS AT LAKE CHESTERFIELD SUBDIVISION; 16303 GULF WINDS CT WILDWOOD MO 63040; HOMEOWNER'S ASSOCIATION OF THE SUBDIVISION; TRUSTEE; MANAGE SUBDIVISION PROPERTIES INCLUDING POOL AND COMMON GROUNDS; AFFILATION STARTED 05/01/2013; 5 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS. 2. St Louis County Election Board; 725 Northwest Plaza Dr, St Ann, MO 63074; Administer Elections; Election judge; Assist at elections polling place; 11/03/2020; 36 Hours per Year; During Securities Trading Hours; Not Investment-Related. 3. LoveTheLou; 1421 N. Taylor St. Louis MO 63113; nonprofit, serving youth and young adults in North St. Louis City; Adviser to Senior Operations Director; Advise and consult with the organization's accounting/finance staff; 06/14/2024; 2.00hrs/quarter; During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - BD
Click below to view Curtis Ray Stalter'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 17, 1994 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N. Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Current
July 28, 2017 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Current
October 23, 2017 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 501 N. Broadway, St. Louis, MO 63102BD
CRD#: 481
ST. LOUIS, MO
Past
May 22, 2024 - September 18, 2024
SIERRA PACIFIC SECURITIES, LLC
BD
CRD#: 155160
LAS VEGAS, NV
Past
August 4, 2020 - September 15, 2020
MOORELAND PARTNERS LLC
BD
CRD#: 127422
NEW YORK, NY
Past
February 28, 2019 - June 25, 2019
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
Past
March 29, 2018 - July 10, 2018
EATON PARTNERS, LLC
BD
CRD#: 31170
ROWAYTON, CT
Past
October 23, 2017 - March 29, 2018
EATON PARTNERS, LLC
BD
CRD#: 31170
ROWAYTON, CT
Past
October 23, 2017 - August 1, 2023
MILLER BUCKFIRE & CO., LLC
BD
CRD#: 104156
NEW YORK, NY
Past
February 26, 1999 - June 24, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
ST LOUIS, MO
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
California(2/5/2015)
RR
Missouri(10/31/1994)
RR
New York(1/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/30/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
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
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
