AB
Albert F. Bender
STIFEL INDEPENDENT ADVISORS
Lanai City, HI
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CRD#: 2944045
AB
Professional summary
Albert Francis Bender III, who also goes by Albert Francis Bender, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Lanai City, Hawaii.
Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Albert has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Albert Francis Bender
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.
1.9630 Partners, LLC; 9630 Clayton Road Saint Louis MO 6312; 9630 Partners owns the building for Vandy Partners to rent for Johnson Bender Asset Management to conduct business from; Manager; 12/17/2015; 1.00hr/quarter; Not during securities trading hours; Investment-Related 2. Vandy Partners, LLC; 9630 Clayton RoadvSaint Louis MO 63124; Vandy Partners is the LLC used to run business with Stifel Independent Advisors; Manager; 12/17/2015; 1.00hr/quarter; Not during securities trading hours; Investment-Related 3. Owns a rental home located at 1824 Port Manleigh, Newport Beach California 92660; it has been rented since 1994. Owner; The rental is managed by Burr White Realty and I devote less than one hour a month to managing this rental property; not during securities trading hours; not investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Albert Francis Bender III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Albert Francis Bender III'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 14, 2021 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #2: 9630 Clayton Road, Ladue, MO 63124RIA
BD
CRD#: 28218
Lanai City, HI
Current
March 29, 2016 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #2: 9630 Clayton Road, Ladue, MO 63124RIA
BD
CRD#: 28218
Lanai City, HI
Past
October 1, 2007 - August 6, 2015
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
ST LOUIS, MO
Past
November 21, 1997 - October 1, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)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
Arizona(4/6/2016)
RR
California(3/29/2016)
RR
Colorado(3/25/2025)
RR
Florida(3/29/2016)
RR
Georgia(4/12/2017)
RR
Hawaii(10/16/2025)
IAR
Hawaii(10/16/2025)
RR
Idaho(11/4/2024)
RR
Illinois(3/29/2016)
RR
Maine(1/10/2023)
RR
Mississippi(7/20/2022)
RR
Missouri(3/29/2016)
IAR
Missouri(12/16/2024)
RR
New Hampshire(3/29/2016)
RR
North Carolina(7/25/2017)
RR
Oregon(6/11/2020)
RR
Pennsylvania(3/29/2016)
RR
Rhode Island(1/4/2022)
RR
Tennessee(3/29/2016)
RR
Texas(4/12/2021)
IAR
Texas(4/14/2021)
RR
Utah(1/4/2018)
RR
Wisconsin(3/29/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
