Eric L. Moxon

STIFEL, NICOLAUS & COMPANY

Chico, CA 95928

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CRD#: 3076291

Professional summary

Eric L Moxon, who also goes by Eric Lawrence Moxon, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Chico, California.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Eric has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Lawrence Moxon

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. Chico Area Council on Aging DBA Chico Meals on Wheels; P.O. Box 1662 Chico CA 95927; Deliver meals daily to Seniors unable to cook or shop for themselves; Vice-President; Write grants, thank you notes attend board meetings; 01/01/1999; 2.00hr/week; During securities trading hours; Not Investment-Related. 2. Emergency Food and Shelter Board of Butte County; Chico, CA 95927; Charity; Board Member; Allocation of EF&S Funds from FEMA; 01/01/2005; 8 Hours per Year; Not during securities trading hours; Not Investment-Related. 3. Chico Area Council on Aging DBA Chico Meals on Wheels; PO Box 1662 Chico Ca 95927; Deliver meals daily to Seniors that are unable to cook or shop; Investment Committee; Work with Stifel broker to meet the investment objectives of the organization; 03/06/1999; 2.00hrs/week; During securities trading hours; Not Investment-Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric L Moxon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Eric L Moxon's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 14, 2009 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 901 Bruce Road, Chico, CA 95928

RIA

CRD#: 793

Chico, CA

Current

August 14, 2009 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 901 Bruce Road, Chico, CA 95928

RIA

CRD#: 793

Chico, CA

Past

January 17, 2003 - August 14, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICO, CA

Past

January 17, 2003 - August 14, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICO, CA

Past

April 11, 2000 - January 23, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CITRUS HTS, CA

Past

August 7, 1998 - January 23, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alaska
(4/21/2011)

Arizona
(3/24/2021)

Arkansas
(3/24/2021)

California
(8/14/2009)

IAR

California
(8/14/2009)

Colorado
(11/1/2019)

Connecticut
(3/31/2017)

Florida
(3/24/2021)

Georgia
(2/10/2023)

Hawaii
(9/15/2015)

Idaho
(7/18/2019)

Indiana
(3/24/2021)

Iowa
(3/24/2021)

Kentucky
(1/23/2019)

Louisiana
(3/24/2021)

Maryland
(11/1/2022)

Massachusetts
(12/15/2023)

Michigan
(3/2/2023)

Missouri
(11/29/2021)

Montana
(3/24/2021)

Nevada
(8/14/2009)

New York
(3/24/2021)

North Carolina
(3/29/2021)

Oklahoma
(8/14/2009)

Oregon
(4/8/2015)

South Carolina
(3/13/2019)

South Dakota
(3/18/2010)

Tennessee
(3/24/2021)

Texas
(3/1/2021)

IAR

Texas
(3/24/2021)

Vermont
(5/6/2019)

Virginia
(10/14/2019)

Washington
(1/12/2010)

Wisconsin
(11/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/1/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/6/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/13/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/13/2002

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

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	Cover Page	Report
12/19/2023	Cover Page	Report

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.

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Firm Stability Insights

Eric L. Moxon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric L Moxon's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Eric L Moxon's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1998

Series 63

Date: 8/20/1998

SIE

Date: 10/1/2018

Series 31

Date: 9/1/1998

Series 7

Date: 8/6/1998

Series 10

Date: 5/13/2002

Series 9

Date: 5/13/2002

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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