Jacob C. Allen
STIFEL, NICOLAUS & COMPANY | Senior Vice President/Investments
Frontenac, MO 63131
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CRD#: 2596713
Professional summary
Jacob C Allen, CIMA®, CPWA®, who also goes by Jacob Coble Allen, Jake Allen, Jacob S Allen, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Frontenac, Missouri.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jacob has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Biography
Jake began his investment industry career in 1995 and joined Stifel in 2020. He enjoys being involved with wealth management because he is given the opportunity to help individuals and families create, apply, and manage investment portfolios while planning to determine how different returns can influence outcomes.
Jake has attained the following designations: Certified Investment Management Analyst®, Certified Private Wealth Advisor®, Chartered Retirement Planning Counselor™, Retirement Management Advisor®, and Certified Divorce Financial Analyst®. He also holds Series 7, 63, and 65 securities licenses.
Outside the office, Jake enjoys spending time with his family, golfing, and volunteering. He is the former Treasurer and a past board member for the St. Louis Chapter of the Society of Financial Service Professionals.
My Approach
I believe that risk mitigation is critical to long-term success. A good investment has more upside potential than downside risk. I take an overall holistic approach to investments – 70% traditional asset allocation advisory-based, 30% tactical investment strategies. Asset allocation does not ensure a profit or protect against loss.
Question & Answer
What are your service offerings?
Financial planning
Retirement planning
Trust & estate planning
Trading individual securities
Loans/credit services
What is your current number of clients?
Under 100
Are you a "fiduciary"?
Yes
Aliases
Jacob Coble Allen | Jake Allen | Jacob S Allen
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. Investments and Wealth Institute; 5619 DTC Parkway, STE 600, Greenwood, CO 80111; CIMA, CPWA and RMA certifications along with industry news and publications; RMA Commission; Help shape the RMA exam and future of the designation; 01/04/2023; 10 Hours per Year; During securities trading hours; Investment-Related. 2. Investments & Wealth Institute; 5619 DTC Parkway, STE 600 Greenwood Village CO 80111; Committed to unifying members, staff, leadership, educators, and advocates in elevating financial advice profession; Ethics Committee; Review applications for CIMA, CPWA, or RMA certification. Hearing panel for existing members; 02/03/2025; 4 hrs/quarter; During securities trading hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob C Allen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob C Allen'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®
CPWA®
Start date: 2018-12-20
Expire date: 2024-11-30
Experience
Current
October 22, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2021 S. Lindbergh Blvd. 3rd Floor, Frontenac, MO 63131RIA
BD
CRD#: 793
Frontenac, MO
Current
October 22, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2021 S. Lindbergh Blvd. 3rd Floor, Frontenac, MO 63131RIA
BD
CRD#: 793
Frontenac, MO
Past
October 23, 2009 - October 23, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FRONTENAC, MO
Past
October 23, 2009 - October 23, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FRONTENAC, MO
Past
February 5, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CLAYTON, MO
Past
August 31, 1999 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CLAYTON, MO
Past
December 2, 1997 - September 15, 1999
MAGNA INVESTMENTS
BD
CRD#: 16511
ST. LOUIS, MO
Past
July 19, 1996 - December 15, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(10/22/2020)
RR
Arkansas(10/22/2020)
RR
California(10/22/2020)
RR
Florida(10/22/2020)
RR
Georgia(10/22/2020)
RR
Illinois(10/22/2020)
RR
Indiana(10/23/2020)
RR
Kansas(5/29/2024)
RR
Louisiana(9/24/2021)
RR
Mississippi(8/13/2024)
RR
Missouri(10/22/2020)
IAR
Missouri(10/22/2020)
RR
North Carolina(10/22/2020)
RR
Ohio(10/22/2020)
RR
Oklahoma(10/22/2020)
RR
South Carolina(12/14/2023)
RR
Tennessee(10/22/2020)
RR
Texas(10/22/2020)
IAR
Texas(10/22/2020)
RR
Virginia(10/22/2020)
RR
Wisconsin(10/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Senior Vice President/InvestmentsCRD#: 793Frontenac, MO 63131TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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