BK
Brent L. King
STIFEL, NICOLAUS & COMPANY
ST LOUIS, MO 63102
Some features on this profile are disabled
CRD#: 2637728
BK
Professional summary
Brent Lee King is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St Louis, Missouri and STIFEL INDEPENDENT ADVISORS, LLC located in St Louis, Missouri.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brent has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brent Lee King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent Lee King'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
August 24, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N Broadway, St Louis, MO 63102RIA
BD
CRD#: 793
ST LOUIS, MO
Current
February 8, 2018 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 501 N Broadway, St Louis, MO 63102RIA
BD
CRD#: 28218
ST LOUIS, MO
Current
August 24, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Current
February 8, 2018 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Past
January 20, 2012 - August 1, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
ST. LOUIS, MO
Past
January 20, 2012 - August 1, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
ST. LOUIS, MO
Past
July 7, 2010 - January 9, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ST. LOUIS, MO
Past
July 6, 2010 - January 9, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 18, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
February 7, 2005 - July 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
April 28, 2004 - July 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 14, 2000 - May 7, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
January 4, 1999 - September 13, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
March 12, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
July 12, 1996 - December 10, 1997
WEDGEWOOD PARTNERS, INC.
BD
CRD#: 21923
ST. LOUIS, MO
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(2/6/2018)
RR
Alaska(2/6/2018)
RR
Arizona(2/6/2018)
RR
Arkansas(2/6/2018)
RR
California(2/6/2018)
RR
Colorado(2/6/2018)
RR
Connecticut(2/6/2018)
RR
Delaware(2/6/2018)
RR
District of Columbia(2/6/2018)
RR
Florida(2/6/2018)
RR
Georgia(2/6/2018)
RR
Hawaii(2/6/2018)
RR
Idaho(2/6/2018)
RR
Illinois(2/6/2018)
RR
Indiana(2/6/2018)
RR
Iowa(2/6/2018)
RR
Kansas(2/6/2018)
RR
Kentucky(2/6/2018)
RR
Louisiana(2/6/2018)
RR
Maine(2/6/2018)
RR
Maryland(2/6/2018)
RR
Massachusetts(2/6/2018)
RR
Michigan(2/6/2018)
RR
Minnesota(2/6/2018)
RR
Mississippi(2/6/2018)
RR
Missouri(8/24/2017)
IAR
Missouri(8/24/2017)
RR
Montana(2/6/2018)
RR
Nebraska(2/6/2018)
RR
Nevada(2/6/2018)
RR
New Hampshire(2/6/2018)
RR
New Jersey(2/6/2018)
RR
New Mexico(2/6/2018)
RR
New York(2/6/2018)
RR
North Carolina(2/6/2018)
RR
North Dakota(2/6/2018)
RR
Ohio(2/6/2018)
RR
Oklahoma(2/6/2018)
RR
Oregon(2/6/2018)
RR
Pennsylvania(2/6/2018)
RR
Puerto Rico(2/6/2018)
RR
Rhode Island(2/6/2018)
RR
South Carolina(2/6/2018)
RR
South Dakota(2/6/2018)
RR
Tennessee(2/6/2018)
RR
Texas(2/6/2018)
RR
Utah(2/6/2018)
RR
Vermont(2/6/2018)
RR
Virgin Islands(2/6/2018)
RR
Virginia(2/6/2018)
RR
Washington(2/6/2018)
RR
West Virginia(2/6/2018)
RR
Wisconsin(2/6/2018)
RR
Wyoming(2/6/2018)
Exams
State Security Law Exam
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
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
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.
