AV
Adam T. Vengrow
STIFEL, NICOLAUS & COMPANY
Portland, OR 97204
Some features on this profile are disabled
CRD#: 2643895
AV
Professional summary
Adam Todd Vengrow, who also goes by Adam T Vengrow, Adam Vengrow, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Portland, Oregon.
Adam is registered as a RR (Registered Representative) and started their career in finance in 1995. Adam has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Adam T Vengrow | Adam Vengrow
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 Adam Todd Vengrow'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 21, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 121 Sw Morrison Suite 1800, Portland, OR 97204Office #2: 6312 S Fiddlers Green Circle Suite 520e, Greenwood Village, CO 80111Office #3: 8115 Preston Road, Dallas, TX 75225Office #4: 1401 Lawrence Street Suite 900, Denver, CO 80202Office #5: 787 7th Avenue, New York, NY 10019Office #6: 6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119Office #7: Millennium One 20 Ash Street, Conshohocken, PA, 19428Office #8: 701 East Lake Street, Wayzata, MN 55391Office #9: 27201 Puerta Real Suite 350, Mission Viejo, CA 92691Office #10: 400 Broadhollow Road Suite 401, Melville, NY 11747Office #11: 2650 North Military Trail Suite 400, Boca Raton, FL 33431Office #12: 4622 Pennsylvania Avenue Suite 1210, C, Kansas City, MO 64112Office #13: 1276 May River Road Suite 200, Bluffton, SC 29910Office #14: 500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596Office #15: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702Office #16: 6100 Fairview Road Suite 350 & Suite 700, Charlotte, NC 28210Office #17: 27476 Detroit Road, Westlake, OH 44145Office #18: 305 Madison Avenue, Morristown, NJ 07960Office #19: 775 Ridge Lake Blvd. Suite 200, Memphis, TN 38120Office #20: 677 Washington Blvd. 9th Floor, Stamford, CT 06901Office #21: 1021 East Cary Street Suites 1925 & 1975, Richmond, VA 23219Office #22: 800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209Office #23: 501 N. Broadway, St. Louis, MO 63102Office #24: 125 High Street, Boston, MA 02110Office #25: 263 Shuman Blvd. Suite 130, Naperville, IL 60563Office #26: 909 A Street, Tacoma, WA 98402Office #27: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067Office #28: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #29: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134Office #30: 641 Oakleaf Office Lane Suite 2, Memphis, TN 38117Office #31: 2801 East Camelback Road, Phoenix, AZ 85016Office #32: 100 Motor Parkway 2nd Floor, Hauppauge, NY 11788Office #33: 8245 Tournament Drive Building A - Suite 110, Memphis, TN 38125Office #34: 3102 West End Avenue Suite 700, Nashville, TN 37203Office #35: 639 Loyola Avenue Suite 200, New Orleans, LA 70113Office #36: 805 Las Cimas Parkway Suite 230, Austin, TX 78746Office #37: 39533 Woodward Avenue Suite 210, Bloomfield Hills, MI 48304Office #38: 8182 Maryland Ave. 10th Floor, Clayton, MO 63105Office #39: 40 Corporate Woods Building 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS 66210Office #40: 107 Spring Street, Suite 100, Ramsey, NJ 07446Office #41: 3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410Office #42: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326Office #43: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104Office #44: One North Wacker Suite 3400, Chicago, IL 60606Office #45: 600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222RIA
BD
CRD#: 793
Portland, OR
Past
February 2, 2009 - May 14, 2018
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
November 2, 2000 - February 11, 2009
UBS SECURITIES LLC
BD
CRD#: 7654
STAMFORD, CT
Past
November 5, 1997 - January 12, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 10, 1996 - December 5, 1997
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
September 20, 1995 - September 11, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(3/12/2019)
RR
Alaska(1/11/2021)
RR
Arizona(11/21/2019)
RR
Arkansas(11/21/2019)
RR
California(1/2/2019)
RR
Colorado(3/12/2019)
RR
Connecticut(1/2/2019)
RR
Delaware(4/25/2019)
RR
District of Columbia(1/11/2021)
RR
Florida(11/21/2019)
RR
Georgia(2/13/2019)
RR
Hawaii(1/11/2021)
RR
Idaho(1/11/2021)
RR
Illinois(11/21/2019)
RR
Indiana(1/11/2021)
RR
Iowa(1/11/2021)
RR
Kansas(11/21/2019)
RR
Kentucky(11/21/2019)
RR
Louisiana(11/21/2019)
RR
Maine(1/11/2021)
RR
Maryland(3/12/2019)
RR
Massachusetts(1/2/2019)
RR
Michigan(11/21/2019)
RR
Minnesota(3/12/2019)
RR
Mississippi(1/11/2021)
RR
Missouri(11/21/2019)
RR
Montana(1/11/2021)
RR
Nebraska(1/11/2021)
RR
Nevada(1/11/2021)
RR
New Hampshire(1/11/2021)
RR
New Jersey(11/21/2019)
RR
New Mexico(1/11/2021)
RR
New York(8/21/2018)
RR
North Carolina(11/22/2019)
RR
North Dakota(1/11/2021)
RR
Ohio(11/22/2019)
RR
Oklahoma(1/11/2021)
RR
Oregon(11/21/2019)
RR
Pennsylvania(11/21/2019)
RR
Rhode Island(1/11/2021)
RR
South Carolina(11/21/2019)
RR
South Dakota(1/11/2021)
RR
Tennessee(11/21/2019)
RR
Texas(11/21/2019)
RR
Utah(11/21/2019)
RR
Vermont(1/11/2021)
RR
Virginia(11/21/2019)
RR
Washington(1/11/2021)
RR
West Virginia(1/11/2021)
RR
Wisconsin(3/12/2019)
RR
Wyoming(1/11/2021)
Exams
State Security Law Exam
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
