JT
John R. Thomas
STIFEL INDEPENDENT ADVISORS
ST. LOUIS, MO 63102
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CRD#: 3188834
JT
Professional summary
John Raymond Thomas is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri and STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Glenwood Springs, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24, Series 9 and Series 10 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Raymond Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Raymond Thomas'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
November 8, 2024 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Current
November 8, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2520 S. Grand Ave. Suite 210, Glenwood Springs, CO 81601Office #2: 6312 S Fiddlers Green Circle Suite 520e, Greenwood Village, CO 80111Office #3: 1101 Mt. Vernon Ave., Marion, OH 43302Office #4: 30050 Chagrin Blvd Suite 300, Pepper Pike, OH 44124Office #5: 10050 Innovation Drive Suite 340, Miamisburg, OH 45342Office #6: 9999 Carver Road, Blue Ash, OH 45242Office #7: 6575 Seville Drive, Canfield, OH 44406Office #8: 3654 Allentown Road, Lima, OH 45807Office #9: 500 North Shoreline Suite 603, Corpus Christi, TX 78401Office #10: 276 Newport Road Suite 104, New London, NH 03257Office #11: 902 Carnegie Center, Suite B, Princeton, NJ 08540Office #12: 3685 Stutz Drive-suite 201, Canfield, OH 44406Office #13: 6301 Waterford Boulevard, Oklahoma City, OK 73118Office #14: 180 Charlotte Drive Suite 100, Altoona, PA 16601Office #15: 1001 Liberty Avenue Suite 1100, Pittsburgh, PA 15222Office #16: 2000 Oxford Drive, Suite 605, Bethel Park, PA 15102Office #17: 3951 Convenience Circle Nw Suite 200, Canton, OH 44718Office #18: 6636 Longshore Street Suite 280, Dublin, OH 43017Office #19: 2100 South Utica Avenue Suite 100, Tulsa, OK 74114Office #20: Millennium One 20 Ash Street, Conshohocken, PA, 19428Office #21: 1200 West Highway 6 Suite 3, Waco, TX 76712Office #22: 400 Broadhollow Road Suite 401, Melville, NY 11747Office #23: 4449 Easton Way Suite 120, Columbus, OH 43219Office #24: 501 Cherry Street Suite 101, Columbia, MO 65201Office #25: 4622 Pennsylvania Avenue Suite 1210, C, Kansas City, MO 64112Office #26: 119 West Fifth Street, Pueblo, CO 81003-3161Office #27: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702Office #28: 3600 Embassy Parkway Suite 200, Fairlawn, OH 44333Office #29: 122 State Street, First Floor, Binghamton, NY 13901Office #30: 500 Chestnut Street Suite 1300, Abilene, TX 79602Office #31: 27476 Detroit Road, Westlake, OH 44145Office #32: Leighton Plaza 130 South Main Street Suite 110, South Bend, IN, 46601Office #33: 670 North River Street Suite 400, Wilkes-barre, PA 18705Office #34: 300 Throckmorton Street Suite 1400, Fort Worth, TX 76102Office #35: 305 Madison Avenue, Morristown, NJ 07960Office #36: 1699 King Street Suite 401, Enfield, CT 06082Office #37: 1284 Liberty Street Pob 1060, Franklin, PA 16323Office #38: 8 Wright Street Suite 204, Westport, CT 06880Office #39: 595 S 60th Street Suite 260, West Des Moines, IA 50266Office #40: 2015 Clubhouse Drive Suite 202, Greeley, CO 80634Office #41: 100 S. Broadway 2nd Floor Pob 448, Salem, OH 44460Office #42: 3000 E. Morgan Ave Suite A, Evansville, IN 47711Office #43: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604Office #44: 501 N. Broadway, St. Louis, MO 63102Office #45: 415 N. Franklin, Decatur, IL 62523Office #46: 125 High Street, Boston, MA 02110Office #47: 6303 Cowboys Way, Frisco, TX 75034Office #48: 200 Nibco Parkway Suite 300, Elkhart, IN 46516Office #49: 20 Custom House Street, Boston, MA 02110Office #50: 2321 Whitney Avenue Suite 106, Hamden, CT 06518Office #51: 647 Depot Street, Manchester Center, VT 05255Office #52: 221 East Fourth Street, Cincinnati, OH 45202Office #54: 4664 Hills And Dales Road Nw, Canton, OH 44708Office #55: 821 E Se Loop 323 Suite 400, Tyler, TX 75701Office #56: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134Office #57: 1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056Office #58: 36 Jordan Street Suite 2, Skaneateles, NY 13152Office #59: 1225 Franklin Avenue Suite 150, Garden City, NY 11530Office #60: 3701 Corporate Parkway Suite 110, Center Valley, PA 18034Office #61: 2850 North Harwood 18th Floor, Dallas, TX 75201Office #62: Four Chasewood 20329 State Highway 249 Suite 150, Houston, TX, 77070Office #63: 800 Main Street Suite 400, Anderson, IN 46016Office #64: 18 Division Street Suite 209 & 211a, Saratoga Springs, NY 12866Office #65: 2245 Texas Drive Building A-2, Suite 290, Sugar Land, TX 77479Office #66: 1570 Fruitville Pike, Lancaster, PA 17601Office #67: 1407 Eisenhower Blvd. Richland Sq. Ii Suite 101, Johnstown, PA 15904Office #68: 7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804Office #69: 109 East Main Street, Suite 308, Lancaster, OH 43130Office #70: 15 Commerce Blvd. 275 Rt 10 East, Suite #209, Succasunna, NJ 07876Office #71: 2525 Kell Boulevard Suite 310, Wichita Falls, TX 76308Office #72: One New Hampshire Avenue Suite 112, Portsmouth, NH 03801Office #73: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036Office #74: 550 Reserve Street, Southlake, TX 76092Office #75: 1389 Center Drive Suite 250, Park City, UT 84098Office #76: 1935 East Battlefield Rd Suite C, Springfield, MO 65804Office #77: 805 Las Cimas Parkway Suite 230, Austin, TX 78746Office #78: 4001 Kennett Pike Suite 220, Greenville, DE 19807Office #79: 357 Brussels Street, St. Mary's, PA 15857Office #80: 320 West Eagle Drive Suite 101, Denton, TX 76201Office #81: 4643 South Ulster, Denver, CO 80237Office #82: 1131 Fairview Ave, Bowling Green, KY 42103Office #83: 1776 I Street, Washington, DC 20006Office #84: 5833 Sw 29th Street, Topeka, KS 66614Office #85: 1806 Oak Ridge Circle Pob 8860, Saint Joseph, MO 64508Office #86: 17 West Streeet, Goshen, NY 10924Office #87: 18 Main Street Extension Suite 303, Plymouth, MA 02360Office #88: 10550 Broadway, Crown Point, IN 46307Office #89: 1170 Wall Street, Jacksonville, IL 62650Office #90: 4300 N. 10th Street Suite A, Mcallen, TX 78504Office #91: 274 Third Street, Beaver, PA 15009Office #92: 126 Mathews Street Suite 2100, Greensburg, PA 15601Office #93: 40 Corporate Woods Building 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS 66210Office #94: 600 East 96th Street, Suite 575, Indianapolis, IN 46240Office #95: 107 Spring Street, Suite 100, Ramsey, NJ 07446Office #96: 8900 Keystone Crossing Suite 300, Indianapolis, IN 46240Office #97: 433 Hackensack Avenue 8th Floor, Hackensack, NJ 07601Office #98: 1393 Veterans Memorial Highway Suite N214, Hauppauge, NY 11788Office #99: Firefly Professional Bldg. 105 Route 137 Unit A, East Harwich, MA, 02645Office #100: 44 Cook Street Suite 450, Denver, CO 80206Office #101: 3908 Nw Elm Avenue, Lawton, OK 73505Office #102: 790 Township Line Road Suite 175, Yardley, PA 19067Office #103: 600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222Office #104: 38 East Main Street, Mystic, CT 06355Office #105: 2002 Judson Road Suite 202, Longview, TX 75605RIA
BD
CRD#: 793
Glenwood Springs, CO
Current
September 29, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2520 S. Grand Ave. Suite 210, Glenwood Springs, CO 81601Office #2: 6312 S Fiddlers Green Circle Suite 520e, Greenwood Village, CO 80111Office #3: 1101 Mt. Vernon Ave., Marion, OH 43302Office #4: 30050 Chagrin Blvd Suite 300, Pepper Pike, OH 44124Office #5: 10050 Innovation Drive Suite 340, Miamisburg, OH 45342Office #6: 9999 Carver Road, Blue Ash, OH 45242Office #7: 6575 Seville Drive, Canfield, OH 44406Office #8: 3654 Allentown Road, Lima, OH 45807Office #9: 500 North Shoreline Suite 603, Corpus Christi, TX 78401Office #10: 276 Newport Road Suite 104, New London, NH 03257Office #11: 902 Carnegie Center, Suite B, Princeton, NJ 08540Office #12: 3685 Stutz Drive-suite 201, Canfield, OH 44406Office #13: 6301 Waterford Boulevard, Oklahoma City, OK 73118Office #14: 180 Charlotte Drive Suite 100, Altoona, PA 16601Office #15: 1001 Liberty Avenue Suite 1100, Pittsburgh, PA 15222Office #16: 2000 Oxford Drive, Suite 605, Bethel Park, PA 15102Office #17: 3951 Convenience Circle Nw Suite 200, Canton, OH 44718Office #18: 6636 Longshore Street Suite 280, Dublin, OH 43017Office #19: 2100 South Utica Avenue Suite 100, Tulsa, OK 74114Office #20: Millennium One 20 Ash Street, Conshohocken, PA, 19428Office #21: 1200 West Highway 6 Suite 3, Waco, TX 76712Office #22: 400 Broadhollow Road Suite 401, Melville, NY 11747Office #23: 4449 Easton Way Suite 120, Columbus, OH 43219Office #24: 501 Cherry Street Suite 101, Columbia, MO 65201Office #25: 4622 Pennsylvania Avenue Suite 1210, C, Kansas City, MO 64112Office #26: 119 West Fifth Street, Pueblo, CO 81003-3161Office #27: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702Office #28: 3600 Embassy Parkway Suite 200, Fairlawn, OH 44333Office #29: 122 State Street, First Floor, Binghamton, NY 13901Office #30: 500 Chestnut Street Suite 1300, Abilene, TX 79602Office #31: 27476 Detroit Road, Westlake, OH 44145Office #32: Leighton Plaza 130 South Main Street Suite 110, South Bend, IN, 46601Office #33: 670 North River Street Suite 400, Wilkes-barre, PA 18705Office #34: 300 Throckmorton Street Suite 1400, Fort Worth, TX 76102Office #35: 305 Madison Avenue, Morristown, NJ 07960Office #36: 1699 King Street Suite 401, Enfield, CT 06082Office #37: 1284 Liberty Street Pob 1060, Franklin, PA 16323Office #38: 8 Wright Street Suite 204, Westport, CT 06880Office #39: 595 S 60th Street Suite 260, West Des Moines, IA 50266Office #40: 2015 Clubhouse Drive Suite 202, Greeley, CO 80634Office #41: 100 S. Broadway 2nd Floor Pob 448, Salem, OH 44460Office #42: 3000 E. Morgan Ave Suite A, Evansville, IN 47711Office #43: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604Office #44: 501 N. Broadway, St. Louis, MO 63102Office #45: 415 N. Franklin, Decatur, IL 62523Office #46: 125 High Street, Boston, MA 02110Office #47: 6303 Cowboys Way, Frisco, TX 75034Office #48: 200 Nibco Parkway Suite 300, Elkhart, IN 46516Office #49: 20 Custom House Street, Boston, MA 02110Office #50: 2321 Whitney Avenue Suite 106, Hamden, CT 06518Office #51: 647 Depot Street, Manchester Center, VT 05255Office #52: 221 East Fourth Street, Cincinnati, OH 45202Office #54: 4664 Hills And Dales Road Nw, Canton, OH 44708Office #55: 821 E Se Loop 323 Suite 400, Tyler, TX 75701Office #56: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134Office #57: 1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056Office #58: 36 Jordan Street Suite 2, Skaneateles, NY 13152Office #59: 1225 Franklin Avenue Suite 150, Garden City, NY 11530Office #60: 3701 Corporate Parkway Suite 110, Center Valley, PA 18034Office #61: 2850 North Harwood 18th Floor, Dallas, TX 75201Office #62: Four Chasewood 20329 State Highway 249 Suite 150, Houston, TX, 77070Office #63: 800 Main Street Suite 400, Anderson, IN 46016Office #64: 18 Division Street Suite 209 & 211a, Saratoga Springs, NY 12866Office #65: 2245 Texas Drive Building A-2, Suite 290, Sugar Land, TX 77479Office #66: 1570 Fruitville Pike, Lancaster, PA 17601Office #67: 1407 Eisenhower Blvd. Richland Sq. Ii Suite 101, Johnstown, PA 15904Office #68: 7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804Office #69: 109 East Main Street, Suite 308, Lancaster, OH 43130Office #70: 15 Commerce Blvd. 275 Rt 10 East, Suite #209, Succasunna, NJ 07876Office #71: 2525 Kell Boulevard Suite 310, Wichita Falls, TX 76308Office #72: One New Hampshire Avenue Suite 112, Portsmouth, NH 03801Office #73: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036Office #74: 550 Reserve Street, Southlake, TX 76092Office #75: 1389 Center Drive Suite 250, Park City, UT 84098Office #76: 1935 East Battlefield Rd Suite C, Springfield, MO 65804Office #77: 805 Las Cimas Parkway Suite 230, Austin, TX 78746Office #78: 4001 Kennett Pike Suite 220, Greenville, DE 19807Office #79: 357 Brussels Street, St. Mary's, PA 15857Office #80: 320 West Eagle Drive Suite 101, Denton, TX 76201Office #81: 4643 South Ulster, Denver, CO 80237Office #82: 1131 Fairview Ave, Bowling Green, KY 42103Office #83: 1776 I Street, Washington, DC 20006Office #84: 5833 Sw 29th Street, Topeka, KS 66614Office #85: 1806 Oak Ridge Circle Pob 8860, Saint Joseph, MO 64508Office #86: 17 West Streeet, Goshen, NY 10924Office #87: 18 Main Street Extension Suite 303, Plymouth, MA 02360Office #88: 10550 Broadway, Crown Point, IN 46307Office #89: 1170 Wall Street, Jacksonville, IL 62650Office #90: 4300 N. 10th Street Suite A, Mcallen, TX 78504Office #91: 274 Third Street, Beaver, PA 15009Office #92: 126 Mathews Street Suite 2100, Greensburg, PA 15601Office #93: 40 Corporate Woods Building 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS 66210Office #94: 600 East 96th Street, Suite 575, Indianapolis, IN 46240Office #95: 107 Spring Street, Suite 100, Ramsey, NJ 07446Office #96: 8900 Keystone Crossing Suite 300, Indianapolis, IN 46240Office #97: 433 Hackensack Avenue 8th Floor, Hackensack, NJ 07601Office #98: 1393 Veterans Memorial Highway Suite N214, Hauppauge, NY 11788Office #99: Firefly Professional Bldg. 105 Route 137 Unit A, East Harwich, MA, 02645Office #100: 44 Cook Street Suite 450, Denver, CO 80206Office #101: 3908 Nw Elm Avenue, Lawton, OK 73505Office #102: 790 Township Line Road Suite 175, Yardley, PA 19067Office #103: 600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222Office #104: 38 East Main Street, Mystic, CT 06355Office #105: 2002 Judson Road Suite 202, Longview, TX 75605RIA
BD
CRD#: 793
Glenwood Springs, CO
Current
October 12, 2009 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Current
October 8, 2015 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 501 N. Broadway, St. Louis, MO 63102BD
CRD#: 481
ST. LOUIS, MO
Past
January 1, 2008 - October 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 29, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
June 16, 2003 - April 6, 2005
TD AMERITRADE, INC.
RIA
CRD#: 7870
ST. LOUIS, MO
Past
February 4, 2000 - April 6, 2005
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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(2/11/2010)
RR
Alaska(2/11/2010)
RR
Arizona(10/6/2009)
RR
Arkansas(2/11/2010)
RR
California(9/30/2009)
RR
Colorado(2/11/2010)
RR
Connecticut(2/22/2010)
RR
Delaware(2/12/2010)
RR
District of Columbia(3/4/2010)
RR
Florida(10/6/2009)
RR
Georgia(2/11/2010)
RR
Hawaii(10/5/2009)
RR
Idaho(2/11/2010)
RR
Illinois(9/29/2009)
RR
Indiana(9/30/2009)
RR
Iowa(2/11/2010)
RR
Kansas(2/11/2010)
RR
Kentucky(2/11/2010)
RR
Louisiana(2/17/2010)
RR
Maine(2/11/2010)
RR
Maryland(10/1/2009)
RR
Massachusetts(2/11/2010)
RR
Michigan(10/26/2009)
RR
Minnesota(10/1/2009)
RR
Mississippi(10/2/2009)
RR
Missouri(9/29/2009)
IAR
Missouri(11/8/2024)
RR
Montana(2/11/2010)
RR
Nebraska(2/17/2010)
RR
Nevada(2/12/2010)
RR
New Hampshire(2/11/2010)
RR
New Jersey(10/7/2009)
RR
New Mexico(2/10/2010)
RR
New York(10/5/2009)
RR
North Carolina(10/13/2009)
RR
North Dakota(9/29/2009)
RR
Ohio(10/5/2009)
RR
Oklahoma(2/19/2010)
RR
Oregon(2/10/2010)
RR
Pennsylvania(9/30/2009)
RR
Puerto Rico(2/11/2010)
RR
Rhode Island(2/16/2010)
RR
South Carolina(2/11/2010)
RR
South Dakota(2/11/2010)
RR
Tennessee(10/8/2009)
RR
Texas(11/16/2009)
IAR
Texas(1/27/2025)
RR
Utah(2/11/2010)
RR
Vermont(2/16/2010)
RR
Virgin Islands(2/11/2010)
RR
Virginia(2/11/2010)
RR
Washington(9/29/2009)
RR
West Virginia(2/17/2010)
RR
Wisconsin(10/5/2009)
RR
Wyoming(2/10/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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.
