SW
Stacie L. Wegman
STIFEL, NICOLAUS & COMPANY
Brentwood, TN 37027
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CRD#: 3068900
SW
Professional summary
Stacie L Wegman, who also goes by Stacie Lea Anderson, Stacie L Fankhauser, Stacie Lea Fankhauser, Stacie Lea Pearson, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Brentwood, Tennessee.
Stacie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stacie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacie Lea Anderson | Stacie L Fankhauser | Stacie Lea Fankhauser | Stacie Lea Pearson
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. Stacie Wegman Notary Public; 1230 June Wilde Ridge Spring Hill TN 37174; Notary Public; 09/21/2023; 2 hours per month; during securities trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Stacie L Wegman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stacie L Wegman'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
June 24, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 100 Winners Circle Suite 310, Brentwood, TN 37027RIA
BD
CRD#: 793
Brentwood, TN
Current
June 24, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 100 Winners Circle Suite 310, Brentwood, TN 37027RIA
BD
CRD#: 793
Brentwood, TN
Past
July 2, 2007 - June 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRENTWOOD, TN
Past
February 13, 2007 - June 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BRENTWOOD, TN
Past
September 9, 2003 - January 5, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
NASHVILLE, TN
Past
April 9, 2001 - August 22, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 11, 1999 - May 18, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
August 24, 1998 - September 27, 1999
&PARTNERS
BD
CRD#: 3767
NASHVILLE, TN
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(6/24/2021)
RR
Arizona(6/24/2021)
RR
Arkansas(6/24/2021)
RR
California(6/24/2021)
RR
Colorado(6/25/2024)
RR
Connecticut(1/2/2025)
RR
Delaware(6/24/2021)
RR
District of Columbia(6/24/2021)
RR
Florida(6/24/2021)
RR
Georgia(6/24/2021)
RR
Idaho(1/2/2025)
RR
Illinois(6/24/2021)
RR
Indiana(6/24/2021)
RR
Iowa(1/2/2025)
RR
Kansas(1/2/2025)
RR
Kentucky(6/24/2021)
RR
Louisiana(6/24/2021)
RR
Maine(6/24/2021)
RR
Maryland(1/2/2025)
RR
Massachusetts(6/24/2021)
RR
Michigan(1/2/2025)
RR
Minnesota(6/24/2021)
RR
Mississippi(1/2/2025)
RR
Missouri(6/24/2021)
RR
Montana(6/24/2021)
RR
Nebraska(1/2/2025)
RR
Nevada(1/2/2025)
RR
New Hampshire(1/2/2025)
RR
New Jersey(1/2/2025)
RR
New Mexico(1/2/2025)
RR
New York(6/24/2021)
RR
North Carolina(6/24/2021)
RR
North Dakota(1/2/2025)
RR
Ohio(6/24/2021)
RR
Oklahoma(1/2/2025)
RR
Oregon(6/24/2021)
RR
Pennsylvania(1/2/2025)
RR
Puerto Rico(1/2/2025)
RR
Rhode Island(1/2/2025)
RR
South Carolina(1/2/2025)
RR
South Dakota(1/2/2025)
RR
Tennessee(6/24/2021)
IAR
Tennessee(6/28/2021)
RR
Texas(6/24/2021)
IAR
Texas(6/24/2021)
RR
Utah(6/24/2021)
RR
Virginia(1/2/2025)
RR
Washington(6/24/2021)
RR
West Virginia(1/2/2025)
RR
Wisconsin(1/2/2025)
RR
Wyoming(8/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGX 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.
