MM
Matthew P. Macmichael
STIFEL, NICOLAUS & COMPANY
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 2908568
MM
Professional summary
Matthew P Macmichael, who also goes by Mathew P Macmichael Sr, Matt Macmichael, Matthew Pace Macmichael, Matthew Macmichael, Matthew P Macmichael Sr, Matthew Pace Macmichael Sr, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Scottsdale, Arizona.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 3, Series 31, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mathew P Macmichael Sr | Matt Macmichael | Matthew Pace Macmichael | Matthew Macmichael | Matthew P Macmichael Sr | Matthew Pace Macmichael Sr
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. Down Syndrome Communities of the Puget Sound; 4746 11th Ave NE Seattle, WA 98105; provide families support and education around down syndrome; board member; monthly zoom to help advise the leadership team; 01/01/2023; 1hr/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Matthew P Macmichael's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew P Macmichael'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
September 2, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #2: 2801 East Camelback Road, Phoenix, AZ 85016Office #3: 4380 N Campbell Avenue Suite 201, Tucson, AZ 85718RIA
BD
CRD#: 793
Scottsdale, AZ
Current
September 2, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #2: 2801 East Camelback Road, Phoenix, AZ 85016Office #3: 4380 N Campbell Avenue Suite 201, Tucson, AZ 85718RIA
BD
CRD#: 793
Scottsdale, AZ
Past
November 21, 2023 - September 3, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Bellevue, WA
Past
September 29, 2023 - September 3, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Bellevue, WA
Past
July 9, 2021 - March 20, 2025
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Bellevue, WA
Past
July 9, 2021 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
Bellevue, WA
Past
November 30, 2012 - July 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BELLEVUE, WA
Past
November 30, 2012 - July 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BELLEVUE, WA
Past
December 11, 2009 - December 11, 2012
MORGAN STANLEY
RIA
CRD#: 149777
MT. LAUREL, NJ
Past
December 11, 2009 - December 11, 2012
MORGAN STANLEY
BD
CRD#: 149777
MT. LAUREL, NJ
Past
April 10, 2007 - April 8, 2010
HADDON FINANCIAL GROUP, INC.
RIA
CRD#: 110842
MARLTON, NJ
Past
September 18, 2002 - February 26, 2005
MASTERS LEGACY PLANNING, INC.
RIA
CRD#: 120905
SOMERS POINT, NJ
Past
August 5, 1998 - December 24, 2009
SII INVESTMENTS, INC.
BD
CRD#: 2225
MOORESTOWN, NJ
Past
January 30, 1998 - December 31, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 9, 1997 - August 14, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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(9/2/2025)
RR
Alaska(9/2/2025)
RR
Arizona(9/29/2025)
IAR
Arizona(9/29/2025)
RR
Arkansas(9/2/2025)
RR
California(9/2/2025)
RR
Colorado(9/2/2025)
RR
Connecticut(9/2/2025)
RR
Delaware(9/25/2025)
RR
District of Columbia(9/2/2025)
RR
Florida(9/2/2025)
RR
Georgia(9/2/2025)
RR
Hawaii(9/2/2025)
RR
Idaho(9/2/2025)
RR
Illinois(9/2/2025)
RR
Indiana(9/2/2025)
RR
Iowa(9/2/2025)
RR
Kansas(9/2/2025)
RR
Kentucky(9/2/2025)
RR
Louisiana(9/2/2025)
RR
Maine(9/2/2025)
RR
Maryland(9/2/2025)
RR
Massachusetts(9/2/2025)
RR
Michigan(9/2/2025)
RR
Minnesota(9/30/2025)
RR
Mississippi(9/2/2025)
RR
Missouri(9/2/2025)
RR
Montana(9/2/2025)
RR
Nebraska(9/2/2025)
RR
Nevada(9/2/2025)
RR
New Hampshire(9/2/2025)
RR
New Jersey(9/2/2025)
RR
New Mexico(9/2/2025)
RR
New York(9/2/2025)
RR
North Carolina(9/2/2025)
RR
North Dakota(9/2/2025)
RR
Ohio(9/2/2025)
RR
Oklahoma(9/2/2025)
RR
Oregon(9/2/2025)
RR
Pennsylvania(9/2/2025)
RR
Puerto Rico(9/2/2025)
RR
Rhode Island(9/2/2025)
RR
South Carolina(9/2/2025)
RR
South Dakota(9/2/2025)
RR
Tennessee(9/2/2025)
RR
Texas(9/2/2025)
IAR
Texas(9/2/2025)
RR
Utah(9/2/2025)
RR
Vermont(9/2/2025)
RR
Virgin Islands(9/2/2025)
RR
Virginia(10/2/2025)
RR
Washington(9/2/2025)
IAR
Washington(9/2/2025)
RR
West Virginia(9/2/2025)
RR
Wisconsin(9/2/2025)
RR
Wyoming(9/2/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
