Ranjeet Rai

STIFEL, NICOLAUS & COMPANY

Lake Forest, IL 60045

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CRD#: 3104220

Professional summary

Ranjeet Rai, who also goes by Randy Rai, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Lake Forest, Illinois.

Ranjeet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ranjeet has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy Rai

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ranjeet Rai's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ranjeet Rai'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

June 25, 2019 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 100 North Field Drive, Suite 340, Lake Forest, IL 60045

RIA

CRD#: 793

Lake Forest, IL

Current

July 9, 2019 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 100 North Field Drive, Suite 340, Lake Forest, IL 60045

RIA

CRD#: 793

Lake Forest, IL

Past

September 19, 2016 - October 11, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROLLING MEADOWS, IL

Past

July 27, 2016 - October 11, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ROLLING MEADOWS, IL

Past

January 27, 2016 - July 29, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

November 10, 2014 - December 4, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

August 28, 2013 - November 11, 2014

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

October 19, 2001 - July 1, 2003

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

CHICAGO, IL

Past

April 24, 2001 - July 1, 2003

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

December 9, 1999 - February 8, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 1, 1999 - July 26, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 1, 1999 - July 26, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(3/28/2022)

Arizona
(3/31/2020)

Arkansas
(1/2/2024)

California
(3/31/2020)

Colorado
(3/31/2020)

Connecticut
(3/31/2020)

Delaware
(3/31/2020)

District of Columbia
(3/31/2020)

Florida
(3/31/2020)

Georgia
(3/31/2020)

Hawaii
(1/2/2024)

IAR

Illinois
(6/25/2019)

Illinois
(7/9/2019)

Indiana
(3/31/2020)

Iowa
(3/31/2020)

Kansas
(3/31/2020)

Kentucky
(3/31/2020)

Louisiana
(3/31/2020)

Maine
(3/31/2020)

Maryland
(3/31/2020)

Massachusetts
(12/17/2020)

Michigan
(3/31/2020)

Minnesota
(3/31/2020)

Mississippi
(3/31/2020)

Missouri
(3/31/2020)

Montana
(3/31/2020)

Nevada
(3/31/2020)

New Jersey
(3/31/2020)

New Mexico
(3/31/2020)

New York
(3/31/2020)

North Carolina
(4/1/2020)

Ohio
(3/31/2020)

Oregon
(3/31/2020)

Pennsylvania
(3/31/2020)

Puerto Rico
(8/5/2021)

Rhode Island
(3/31/2020)

South Carolina
(3/31/2020)

South Dakota
(8/5/2021)

Texas
(3/31/2020)

IAR

Texas
(3/31/2020)

Utah
(8/5/2021)

Vermont
(3/31/2020)

Virgin Islands
(5/15/2024)

Virginia
(3/31/2020)

Washington
(3/31/2020)

Wisconsin
(3/31/2020)

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 66

Date: 9/16/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/28/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

Cboe BZX Exchange, Inc.

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

Ranjeet Rai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ranjeet Rai's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ranjeet Rai's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2016

SIE

Date: 10/11/2017

Series 7

Date: 6/23/2015

Series 6

Date: 8/28/2013

Cboe BZX Exchange, Inc.

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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