MM
Michael B. Mcnamee
STIFEL, NICOLAUS & COMPANY
ST LOUIS, MO 63102
Some features on this profile are disabled
CRD#: 2792129
MM
Professional summary
Michael B Mcnamee, who also goes by Michael B Mcnamee Jr, Michael B Mcnamee, Michael Butler Mcnamee Jr, Michael Butler Mcnamee, Mike Mcnamee, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St Louis, Missouri.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael B Mcnamee Jr | Michael B Mcnamee | Michael Butler Mcnamee Jr | Michael Butler Mcnamee | Mike Mcnamee
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 Michael B Mcnamee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael B Mcnamee'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
June 14, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N Broadway, St Louis, MO 63102RIA
BD
CRD#: 793
ST LOUIS, MO
Current
June 14, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Past
March 21, 2017 - May 29, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ST. LOUIS, MO
Past
December 17, 2014 - May 29, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
February 1, 2008 - March 20, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
February 1, 2008 - March 20, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 19, 2005 - February 14, 2008
COMMERCE BROKERAGE SERVICES, INC.
RIA
CRD#: 17140
ST. LOUIS, MO
Past
September 16, 2005 - February 14, 2008
COMMERCE BROKERAGE SERVICES, INC.
BD
CRD#: 17140
ST. LOUIS, MO
Past
July 22, 2005 - September 19, 2005
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 9, 2003 - June 30, 2005
TD AMERITRADE, INC.
RIA
CRD#: 7870
ST. LOUIS , MO
Past
February 19, 2003 - June 30, 2005
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
August 9, 2002 - February 7, 2003
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
April 29, 2002 - August 22, 2002
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
February 12, 2002 - May 13, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
December 1, 2001 - February 8, 2002
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
March 31, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
September 8, 1999 - March 28, 2000
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, 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.
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(7/10/2018)
RR
Alaska(7/13/2018)
RR
Arizona(7/10/2018)
RR
Arkansas(7/10/2018)
RR
California(7/10/2018)
RR
Colorado(7/10/2018)
RR
Connecticut(7/11/2018)
RR
Delaware(7/11/2018)
RR
District of Columbia(7/11/2018)
RR
Florida(7/10/2018)
RR
Georgia(7/10/2018)
RR
Hawaii(7/10/2018)
RR
Idaho(7/10/2018)
RR
Illinois(7/10/2018)
RR
Indiana(7/18/2018)
RR
Iowa(7/10/2018)
RR
Kansas(7/18/2018)
RR
Kentucky(7/11/2018)
RR
Louisiana(7/10/2018)
RR
Maine(7/10/2018)
RR
Maryland(7/13/2018)
RR
Massachusetts(7/10/2018)
RR
Michigan(7/10/2018)
RR
Minnesota(7/10/2018)
RR
Mississippi(7/13/2018)
RR
Missouri(6/14/2018)
IAR
Missouri(6/14/2018)
RR
Montana(7/10/2018)
RR
Nebraska(7/10/2018)
RR
Nevada(7/23/2018)
RR
New Hampshire(7/10/2018)
RR
New Jersey(7/13/2018)
RR
New Mexico(7/10/2018)
RR
New York(7/31/2018)
RR
North Carolina(7/11/2018)
RR
North Dakota(7/11/2018)
RR
Ohio(7/10/2018)
RR
Oklahoma(7/11/2018)
RR
Oregon(7/9/2018)
RR
Pennsylvania(7/10/2018)
RR
Puerto Rico(7/13/2018)
RR
Rhode Island(7/10/2018)
RR
South Carolina(7/11/2018)
RR
South Dakota(7/11/2018)
RR
Tennessee(7/10/2018)
RR
Texas(7/10/2018)
RR
Utah(7/10/2018)
RR
Vermont(7/10/2018)
RR
Virgin Islands(7/25/2018)
RR
Virginia(7/10/2018)
RR
Washington(7/11/2018)
RR
West Virginia(7/20/2018)
RR
Wisconsin(7/11/2018)
RR
Wyoming(7/10/2018)
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
General Industry/Product Exam
Principal/Supervisory 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)
PREMIUM
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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 | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| 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.
