RA
Robert A. Anthony
STIFEL, NICOLAUS & COMPANY
HOUSTON, TX 77056
Some features on this profile are disabled
CRD#: 2745464
RA
Professional summary
Robert A Anthony, who also goes by Robert Allen Anthony, Bob Anthony, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Houston, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Allen Anthony | Bob Anthony
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.
Minister; Non investment related; 26707 Canton Pass Lane Cypress TX, 77433; Backup when a minister can not make a prescheduled engagement; Start date 9/2022; 30 min./month, none during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert A Anthony's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert A Anthony'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 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056Office #2: Four Chasewood 20329 State Highway 249 Suite 150, Houston, TX, 77070RIA
BD
CRD#: 793
HOUSTON, TX
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056Office #2: Four Chasewood 20329 State Highway 249 Suite 150, Houston, TX, 77070RIA
BD
CRD#: 793
HOUSTON, TX
Past
August 25, 2022 - April 7, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Houston, TX
Past
September 10, 2020 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Houston, TX
Past
September 10, 2020 - April 4, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Houston, TX
Past
October 1, 2012 - September 16, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOUSTON, TX
Past
October 1, 2012 - September 16, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
March 1, 1999 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOUSTON, TX
Past
March 1, 1999 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, TX
Past
August 27, 1997 - March 1, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
BD
CRD#: 17116
HOUSTON, TX
Past
June 18, 1996 - August 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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
Alabama(4/4/2025)
RR
Alaska(4/4/2025)
RR
Arizona(4/4/2025)
RR
Arkansas(4/4/2025)
RR
California(4/4/2025)
RR
Colorado(4/4/2025)
RR
Florida(4/4/2025)
RR
Georgia(4/4/2025)
RR
Hawaii(4/4/2025)
RR
Illinois(4/4/2025)
RR
Louisiana(4/4/2025)
RR
Maryland(4/4/2025)
RR
Massachusetts(4/4/2025)
RR
Mississippi(4/4/2025)
RR
Missouri(4/4/2025)
RR
New Jersey(4/4/2025)
RR
New Mexico(4/4/2025)
RR
New York(4/4/2025)
RR
North Carolina(4/4/2025)
RR
Ohio(4/4/2025)
RR
Oregon(4/4/2025)
RR
Pennsylvania(4/4/2025)
RR
Tennessee(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/4/2025)
RR
Utah(4/4/2025)
RR
Virginia(4/4/2025)
RR
Washington(6/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
