NW
Nicola T. Walter
STIFEL, NICOLAUS & COMPANY
BOSTON, MA 02110
CRD#: 2857514
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NW
Nicola Ta WalterSTIFEL, NICOLAUS & COMPANY
Professional summary
Nicola Ta Walter, who also goes by Walter Ta Nicola Ta, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Boston, Massachusetts.
Nicola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nicola has worked at 13 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Walter Ta Nicola Ta
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 Nicola Ta Walter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicola Ta Walter'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
May 29, 2026 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 125 High Street, Boston, MA 02110Office #2: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
BOSTON, MA
Current
May 29, 2026 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 125 High Street, Boston, MA 02110Office #2: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
BOSTON, MA
Past
July 25, 2019 - May 5, 2026
NOBLEBRIDGE WEALTH
RIA
CRD#: 146612
NEW YORK, NY
Past
April 27, 2018 - June 10, 2019
SKYRANK
RIA
CRD#: 126954
East Brunswick, NJ
Past
April 3, 2017 - May 28, 2026
LEAGUE CAPITAL MARKETS
BD
CRD#: 170803
NEW YORK, NY
Past
October 30, 2015 - December 6, 2016
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
NEW YORK, NY
Past
October 30, 2015 - December 6, 2016
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
July 12, 2011 - November 5, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
July 6, 2011 - November 5, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
May 17, 2011 - September 26, 2011
BENJAMIN & JEROLD BROKERAGE I, LLC
BD
CRD#: 29110
NEW YORK, NY
Past
October 27, 2010 - March 29, 2011
GLENWOOD SECURITIES, INC.
BD
CRD#: 37066
NEW YORK, NY
Past
September 10, 2007 - November 10, 2008
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
August 28, 2007 - November 10, 2008
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NEW YORK, NY
Past
January 3, 2002 - February 2, 2007
MONARCH FINANCIAL CORPORATION OF AMERICA
BD
CRD#: 23437
NEW YORK, NY
Past
March 18, 1997 - December 31, 2001
WORLD FINANCIAL SERVICES, INC.
BD
CRD#: 18461
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
Massachusetts(5/29/2026)
RR
New Jersey(5/29/2026)
IAR
New Jersey(5/29/2026)
RR
New York(5/29/2026)
IAR
New York(5/29/2026)
Exams
State Security Law Exam
State Security Law Exam
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
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 | 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.
