KC
Keona D. Cotrill
STIFEL, NICOLAUS & COMPANY
Tulsa, OK 74114
Some features on this profile are disabled
CRD#: 2840652
KC
Professional summary
Keona Danielle Cotrill, who also goes by Keona Danielle Barrow, Keona Danielle Contreras, Keona Danielle Contreras Cotrill, Keona Danielle Hays, Keona Danielle Jackson, Keona Danielle Novak, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Tulsa, Oklahoma.
Keona is registered as a RR (Registered Representative) and started their career in finance in 1999. Keona has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Keona Danielle Barrow | Keona Danielle Contreras | Keona Danielle Contreras Cotrill | Keona Danielle Hays | Keona Danielle Jackson | Keona Danielle Novak
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 Keona Danielle Cotrill'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
January 10, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2100 South Utica Avenue Suite 100, Tulsa, OK 74114RIA
BD
CRD#: 793
Tulsa, OK
Past
April 6, 2011 - August 16, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
DALLAS, TX
Past
March 24, 2008 - May 8, 2009
HILLTOP SECURITIES INC.
BD
CRD#: 6220
PLANO, TX
Past
December 18, 2007 - March 24, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
DALLAS, TX
Past
September 19, 2006 - November 16, 2007
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
ADDISON, TX
Past
January 15, 2004 - September 26, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
Past
July 22, 1999 - January 9, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 23, 1999 - July 26, 1999
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(3/6/2024)
RR
Arizona(3/10/2017)
RR
Arkansas(1/19/2012)
RR
California(3/10/2017)
RR
Colorado(3/13/2017)
RR
Connecticut(3/6/2024)
RR
District of Columbia(3/10/2017)
RR
Florida(3/10/2017)
RR
Georgia(3/6/2024)
RR
Hawaii(3/6/2024)
RR
Idaho(3/6/2024)
RR
Illinois(3/6/2024)
RR
Indiana(3/14/2017)
RR
Iowa(3/6/2024)
RR
Kansas(3/17/2017)
RR
Kentucky(3/6/2024)
RR
Louisiana(3/6/2024)
RR
Maryland(3/6/2024)
RR
Michigan(3/6/2024)
RR
Minnesota(3/6/2024)
RR
Mississippi(3/6/2024)
RR
Missouri(3/9/2017)
RR
Montana(3/6/2024)
RR
Nebraska(3/6/2024)
RR
Nevada(3/6/2024)
RR
New Jersey(3/6/2024)
RR
New Mexico(3/6/2024)
RR
New York(3/10/2017)
RR
North Carolina(3/7/2024)
RR
Ohio(3/6/2024)
RR
Oklahoma(1/10/2012)
RR
Oregon(3/14/2017)
RR
Pennsylvania(3/6/2024)
RR
Rhode Island(3/6/2024)
RR
South Carolina(3/6/2024)
RR
Texas(1/25/2012)
RR
Utah(3/6/2024)
RR
Vermont(3/6/2024)
RR
Virginia(3/9/2017)
RR
Washington(3/6/2024)
RR
West Virginia(3/6/2024)
RR
Wisconsin(3/6/2024)
RR
Wyoming(3/6/2024)
Exams
State Security Law 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
CRD#: 793Tulsa, OK 74114TRUST BUT VERIFY
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