SW
Sydney Walker
STIFEL, NICOLAUS & COMPANY
Santa Barbara, CA
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CRD#: 2977095
SW
Professional summary
Sydney Walker IV, CFP®, ChFC®, CLU® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Santa Barbara, California.
Sydney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sydney has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. St. Francis Foundation; 2323 De la Vina Street, #104 Santa Barbara CA 93101; Humanitarian org; Board Member, Investment Committee Member; guide direction, vote on motions, serve mission; 1/1/2015; 5.0 hours per month; during securities trading hours; Not Investment-Related. 2. All Saints by-the-Sea; 83 Eucalyptus Lane, Santa Barbara, CA 93108; Religious Organization; Outreach Committee; evaluate grant requests, make giving decisions; 08/01/2016; 4 hours per month; during securities trading hours; not investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Sydney Walker IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sydney Walker IV'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®
CFP®
Start date: 2011
Experience
Current
May 26, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 206 East Anapamu Street, Santa Barbara, CA 93101RIA
BD
CRD#: 793
Santa Barbara, CA
Current
May 26, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 206 East Anapamu Street, Santa Barbara, CA 93101RIA
BD
CRD#: 793
Santa Barbara, CA
Past
July 30, 2009 - May 27, 2016
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
SANTA BARBARA, CA
Past
July 29, 2009 - May 27, 2016
WEDBUSH SECURITIES INC.
BD
CRD#: 877
SANTA BARBARA, CA
Past
January 1, 2008 - July 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SANTA BARBARA, CA
Past
January 1, 2008 - July 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SANTA BARBARA, CA
Past
February 19, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SANTA BARBARA, CA
Past
April 18, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SANTA BARBARA, CA
Past
August 28, 1998 - October 13, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 28, 1998 - October 13, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
February 12, 1998 - May 22, 1998
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
Alaska(1/17/2023)
RR
Arizona(1/25/2023)
RR
California(5/26/2016)
IAR
California(5/26/2016)
RR
Colorado(1/13/2023)
RR
Florida(3/22/2023)
RR
Hawaii(5/26/2016)
RR
Kentucky(4/21/2023)
RR
Maine(5/26/2016)
RR
Massachusetts(5/26/2016)
RR
Nevada(9/24/2021)
RR
New Hampshire(7/13/2022)
RR
New Mexico(5/26/2016)
RR
New York(11/15/2024)
RR
Ohio(1/5/2021)
RR
Oregon(6/23/2017)
RR
Tennessee(3/6/2020)
RR
Texas(12/1/2016)
IAR
Texas(5/17/2023)
RR
Utah(3/30/2022)
RR
Washington(1/12/2023)
RR
Wyoming(1/17/2023)
Exams
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 | 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.
