HW
Hugo J. Warns
STIFEL, NICOLAUS & COMPANY
Baltimore, MD 21231
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CRD#: 2680469
HW
Professional summary
Hugo John Warns III is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Baltimore, Maryland.
Hugo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Hugo has worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 62 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.
1.Raptor Investments, LLC;12301 Highgrove Ct Reisterstown MD 21136; A corporation that will make investments in privately held companies; Co-Owner and Manager; Monitor holdings quarterly ;2 hrs/month; Not during securities trading hours; Investment-Related 2. First Tee of Baltimore; 303 International Circle Hunt Valley MD 21030; Charity; Board Member; Advisor to Charity; affiliation started 01/01/2016; 2.0 hours per quarter; not during securities trading hours; not investment-related. 3. Fred Haskins Commission, Inc; 2610 Cherokee Avenue, Columbus, GA 31906; The Haskins Commission has been devoted to amateur golf and the presentation of the Haskins Award; Member of the Board or Directors; Provide oversight; 02/10/2021; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 4. Bennabis Health; 16 South Avenue West, Canford, NJ 07106; Improve patient health; Board of Directors; Advise and oversee the management team; 01/20/2022; 10 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 5. Cloister Capital, LLC; 121 E 7th Street, Sea Island, GA 31561; Holding company; Owner/Member; Oversight; 02/02/2022; 24 Hours per Year; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Hugo John Warns III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hugo John Warns 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
October 9, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #2: 26 Market Street Suite 116, St. Simons Island, GA 31522RIA
BD
CRD#: 793
Baltimore, MD
Current
December 1, 2005 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #2: 26 Market Street Suite 116, St. Simons Island, GA 31522RIA
BD
CRD#: 793
Baltimore, MD
Past
March 5, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
July 12, 2001 - February 18, 2004
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 26, 1998 - June 19, 2001
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
September 1, 1997 - July 10, 1998
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
January 17, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
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
California(5/23/2018)
RR
Connecticut(1/2/2018)
RR
Georgia(10/9/2024)
IAR
Georgia(10/10/2024)
RR
Maryland(12/1/2005)
IAR
Maryland(10/9/2024)
RR
Massachusetts(5/23/2018)
RR
Missouri(5/23/2018)
RR
New York(5/23/2018)
RR
Texas(5/23/2018)
IAR
Texas(10/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/28/1995
Corporate Securities Limited Representative ExaminationPrincipal/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.
