NL
Norman B. Loewenstern
STIFEL, NICOLAUS & COMPANY
Napa, CA
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CRD#: 311656
NL
Professional summary
Norman Bernard Loewenstern, who also goes by Norman Bernard Leowenstern, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Napa, California.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Norman has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Norman Bernard Leowenstern
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. Monroe shopping center; 7020-7036 Monroe Houston TX 77061; rent 4 spaces for retail; own 100%; collect rent and pay bills, have leasing agent for the rest; 06/01/1975; 2 hrs/month; Not during security trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Norman Bernard Loewenstern's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Norman Bernard Loewenstern'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 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056RIA
BD
CRD#: 793
Napa, CA
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056RIA
BD
CRD#: 793
HOUSTON, TX
Past
August 27, 2022 - April 7, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Houston, TX
Past
September 18, 2015 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Houston, TX
Past
September 18, 2015 - April 4, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MEMPHIS, TN
Past
June 24, 2009 - October 16, 2015
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
HOUSTON, TX
Past
June 24, 2009 - October 16, 2015
HILLTOP SECURITIES INC.
BD
CRD#: 6220
HOUSTON, TX
Past
June 1, 2009 - July 1, 2009
MORGAN STANLEY
RIA
CRD#: 149777
ST. HELENA, CA
Past
June 1, 2009 - July 1, 2009
MORGAN STANLEY
BD
CRD#: 149777
ST. HELENA, CA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ST. HELENA, CA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ST. HELENA, CA
Past
February 14, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
HOUSTO, TX
Past
February 14, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
January 1, 1991 - February 16, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 14, 1969 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
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
California(4/4/2025)
IAR
California(4/7/2025)
RR
Colorado(4/4/2025)
RR
Florida(4/4/2025)
RR
Maryland(4/4/2025)
RR
New Mexico(4/4/2025)
RR
North Carolina(4/4/2025)
RR
Ohio(4/4/2025)
RR
Oklahoma(4/4/2025)
RR
Oregon(4/4/2025)
RR
South Carolina(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 9/6/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 8/6/1969
Registered Representative ExaminationSRO Registrations
RR
Cboe BZX 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.
