Henry S. Lynn

STIFEL, NICOLAUS & COMPANY

BIRMINGHAM, AL 35209

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CRD#: 315266

Professional summary

Henry Sharpe Lynn JR is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Birmingham, Alabama.

Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Henry has worked at 3 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, PC, Series 41, Series 1, Series 24, Series 53 and Series 40 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.Diane Stobert Sessions and Paul Trammell Sessions, Jr. Foundation; 3800 Colonade Parkway Ste 500 Birmingham AL 35243; Charitable Foundation supports the Birmingham Audubon Society; He is one of the 5 Directors since July 1999; He reviews the investments and makes distributions; affiliation started 07/29/1999; 6 hours per year; during securities trading hours; not investment related. 2. Cathedral Church of the Advent Endowment Fund; 1901 6th Ave N Birmingham AL 35203; Supports Episcopal Cathedral in Birmingham; He has been a Trustee for more than 25 years. Transactions are made only with approval of the 5 Trustees; He is one of 5 Trustees; He oversees the investments and distributes the income; affiliation started 01/01/1987; 5 horus per quarter; during securities trading hours; not investment related. 3. Webb Fund for Outreach C/O Cathedral Church of the Advent Endowment Fund; 2017 6th Avenue North Birmingham AL 35203; Charitable fund for outreach projects of the Cathedral Church of the Advent (Episcopal); One of 5 Trustees; Reviews the portfolio and recommend investments; affiliation started 10/18/2006; 1 hour per quarter; during securities trading hours; not investment-related. 4. Birmingham Museum of Art Endowment Trust; 2000 Rev. Abraham Woods, Jr. Blvd. Birmingham AL 35203; The Endowment Trust has assets of $20 million plus and distributes about 4% of its principal to the B'ham Museum of Art annually; one of 6 Trustees; along with the other 5 Trustees, oversee the Trust and grant distributions to the Birmingham Museum of Art; 9/20/2017; 2.00 hours per quarter; during securities trading hours; Not Investment-Related 5. Order of First Families of Virginia; 1100 West Leigh Drive Charlottesville, VA 22901; Genealogical Society for people who can trace ancestry to the early settlers of the Virginia Colony; Council Member, Past President; Serve on governing council of organization; 01/01/1988; 10hrs/yr; Not during securities trading hours; Not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Sharpe Lynn JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Henry Sharpe Lynn JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 130888

BIRMINGHAM, AL

Past

June 20, 1973 - July 7, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

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
(7/7/2015)

IAR

Alabama
(7/7/2015)

Arkansas
(11/29/2017)

California
(4/3/2018)

Colorado
(7/7/2015)

Florida
(7/7/2015)

Georgia
(7/7/2015)

Louisiana
(7/7/2015)

Mississippi
(7/7/2015)

New York
(7/7/2015)

North Carolina
(7/7/2015)

Tennessee
(3/4/2016)

Texas
(7/7/2015)

IAR

Texas
(1/13/2020)

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.

Registered Principal Examination

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.

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Henry S. Lynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Sharpe Lynn JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Henry Sharpe Lynn JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/1993

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 3/8/1983

Series 41

Date: 6/16/1982

Series 1

Date: 6/15/1973

Series 24

Date: 1/2/2023

Series 53

Date: 1/2/2023

Series 40

Date: 4/2/1976

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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