Melissa Transier
STIFEL, NICOLAUS & COMPANY | Managing Director - Investments
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2719955
Professional summary
Melissa Transier, who also goes by Karen Melissa Lowrey, Melissa Lowrey, Karen M Transier, K. M Transier, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Dallas, Texas.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Melissa has worked at 6 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Executive services/Equity comp...
Financial planning
What is your current number of clients?
Under 50
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes
Aliases
Karen Melissa Lowrey | Melissa Lowrey | Karen M Transier | K. M Transier
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. MBT2010 LLC; 6499 Powerline Road, Suite 108 Fort Lauderdale, FL 33309; Used for registering automobiles; 02/02/2024; 1 hr/year; Not during securities trading hours; Not Investment-Related 2. T2 GP, Inc; 12128 Madeleine Circle Dallas TX 75230; legal entity which is the General Partner of T2 Interests, Ltd; President; necessary filings periodically; 04/09/2014; 2 hrs/year; Not during security trading hours; Investment-Related 3. T2 Interests, Ltd; 12128 Madeleine Circle Dallas TX 75230; Partnership between my husband and I that owns securities in brokerage accounts and real estate (not rental property); estate planning vehicle; Manage the assets; 01/01/2014; 5 hrs/year; Not during security trading hours; Investment-Related 4. Saving Giraffes Now; 8333 Douglas Avenue, Suite 300 Dallas, TX 75225; It is a 501(c)(3) non-profit organization dedicated to saving giraffes from extinction; Board Member; Support the mission and values by giving advice and guidance; 10/27/2025; 3hrs/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Melissa Transier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Melissa Transier'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 16, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2850 North Harwood 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 793
Dallas, TX
Current
April 16, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2850 North Harwood 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 793
Dallas, TX
Past
January 2, 2009 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
January 2, 2009 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
September 3, 2004 - January 21, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DALLAS, TX
Past
September 3, 2004 - January 21, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
Past
January 17, 2003 - October 4, 2004
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
DALLAS, TX
Past
January 17, 2003 - October 4, 2004
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
February 2, 2001 - September 16, 2002
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
December 21, 1998 - January 17, 2003
PERSHING LLC
RIA
CRD#: 7560
DALLAS, TX
Past
December 18, 1998 - January 17, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
April 6, 1998 - December 4, 1998
JPMSI
BD
CRD#: 15733
NEW YORK, 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
California(4/16/2025)
RR
Colorado(4/16/2025)
RR
Delaware(4/16/2025)
RR
Florida(4/23/2025)
RR
Georgia(4/16/2025)
RR
Illinois(4/16/2025)
RR
Kansas(4/16/2025)
RR
Louisiana(4/16/2025)
RR
Maine(4/16/2025)
RR
Michigan(4/16/2025)
RR
Missouri(4/16/2025)
RR
Nevada(4/16/2025)
RR
New Jersey(4/16/2025)
RR
New York(4/16/2025)
RR
North Carolina(4/16/2025)
RR
Ohio(4/16/2025)
RR
Oklahoma(4/16/2025)
RR
Pennsylvania(4/16/2025)
RR
Tennessee(4/16/2025)
RR
Texas(4/16/2025)
IAR
Texas(4/16/2025)
RR
Virginia(4/16/2025)
RR
Washington(4/16/2025)
RR
Wyoming(4/16/2025)
Exams
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
Managing Director - InvestmentsCRD#: 793Dallas, TX 75201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
