IB
Irving V. Boberski
STIFEL, NICOLAUS & COMPANY
Chicago, IL 60606
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CRD#: 2578528
IB
Professional summary
Irving Vincent Boberski III, who also goes by VInce Boberski, Vincent Boberski, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Chicago, Illinois.
Irving is registered as a RR (Registered Representative) and started their career in finance in 1995. Irving has worked at 8 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 16, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vince Boberski | Vincent Boberski
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 Irving Vincent Boberski III'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
April 22, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 200 W. Madison Street Suite 1960, Chicago, IL 60606RIA
BD
CRD#: 793
Chicago, IL
Past
August 1, 2011 - November 8, 2018
VINING-SPARKS ASSET MANAGEMENT, LLC
RIA
CRD#: 155397
MEMPHIS, TN
Past
July 27, 2009 - December 15, 2016
ICBA SECURITIES
BD
CRD#: 24088
MEMPHIS, TN
Past
April 9, 2009 - April 22, 2022
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
CHICAGO, IL
Past
April 26, 2006 - February 11, 2009
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
November 19, 1998 - May 4, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
February 11, 1997 - June 25, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
January 9, 1995 - September 25, 1996
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
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
Alaska(9/8/2025)
RR
Arizona(5/14/2025)
RR
Arkansas(9/12/2022)
RR
California(5/16/2025)
RR
Colorado(5/17/2023)
RR
Delaware(4/22/2022)
RR
Florida(11/10/2022)
RR
Georgia(10/15/2025)
RR
Hawaii(4/22/2022)
RR
Illinois(4/22/2022)
RR
Iowa(4/22/2022)
RR
Kansas(6/11/2024)
RR
Maine(4/22/2022)
RR
Maryland(5/2/2025)
RR
Michigan(7/1/2024)
RR
Mississippi(4/22/2022)
RR
New Jersey(5/18/2023)
RR
New Mexico(9/8/2025)
RR
Ohio(3/27/2023)
RR
Texas(3/13/2025)
RR
Utah(9/27/2023)
RR
Washington(7/29/2024)
RR
Wisconsin(1/31/2024)
RR
Wyoming(9/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral 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
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.
