SC
Steven E. Crouch
STIFEL, NICOLAUS & COMPANY
Warrenton, VA 20186
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CRD#: 3273557
SC
Professional summary
Steven E Crouch is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Warrenton, Virginia.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 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.
**Alice Johnson Meadows Trust; Investment related; 560 Broadview Avenue, Suite 100, Warrenton VA 20186; With the help of the commissioner of accounts I disburse funds from the Trust to Alice or on her behalf; Trustee; 15 hrs/month devoted 4 during securities trading hrs. 1. ABC & J LLC; 388 Waterloo St Warrenton VA 20186; Rental Property; Partnership owns a shopping center and collects rents and upkeeps property; I am the bookkeeper. I watch spending, collect rents and pay administrative bills(water, power, and taxes); 06/01/2012; 8.00hrs/month; Not during securities trading hours; Investment-Related 2. Fauquier Community Coalition; 41 W Lee Highway Warrenton VA 20186; Serve the poor in Fauquier county through providing firewood, car repair, home repair and various immediate help services; Treasurer; Review spending by workers. Pay administrative bills. Compile a Treasurers report monthly; 01/07/2016; 2.00hrs/month; Not during securities trading hours; Investment-Related 3. Rental Property; 6308 Lee Hwy Access Rd Warrenton, VA 20187; Owner; Collect rent and provide maintenance; 11/15/2024; 1 hr/month; Not during securities trading hours; Investment-Related 4. Rental Property; 411 Denning Ct Warrenton, VA 20186; Owner; Collect rent and provide maintenance; 08/18/2021; 1 hr/month; Not during securities trading hours; Investment-Related 5. Rental Property; 435 Ridge Ct Warrenton, VA 20186; Owner; Collect rent and provide maintenance; 03/17/2020; 1 hr/month; Not during securities trading hours; Investment-Related 6. Rental Property; 2220 Forsythia Dr Culpeper, VA 20701; Owner; Collect rent and provide maintenance; 08/28/2020; 1 hr/month; Not during securities trading hours; Investment-Related 7. Rental Property; 1829 Picadilly Circus Culpeper, VA 20701; Owner; Collect rent and provide maintenance; 05/20/2022; 1 hr/month; Not during securities trading hours; Investment-Related 8. Rental Property; 1808 Soho Court Culpeper, VA 20712; Owner; Collect rent and provide maintenance; 03/07/2014; 1 hr/month; Not during securities trading hours; Investment-Related 9. Notary; 6814 Travelers Way Warrenton VA 20187; Notarizing documents; Verify identity, record, and sign; 04/11/2022; 1 hr/month; During security trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Steven E Crouch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven E Crouch'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 5, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 550 Broadview Avenue Suite 201, Warrenton, VA 20186RIA
BD
CRD#: 793
Warrenton, VA
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 550 Broadview Avenue Suite 201, Warrenton, VA 20186RIA
BD
CRD#: 793
Warrenton, VA
Past
August 8, 2022 - April 7, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Warrenton, VA
Past
July 27, 2021 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Warrenton, VA
Past
July 27, 2021 - April 4, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Warrenton, VA
Past
February 17, 2021 - July 27, 2021
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ATLANTA, GA
Past
February 17, 2021 - July 27, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WARRENTON, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
November 16, 2012 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
February 29, 2012 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
WARRENTON, VA
Past
November 16, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
WARRENTON, VA
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(4/4/2025)
RR
Arizona(4/4/2025)
RR
Arkansas(4/11/2025)
RR
California(4/4/2025)
RR
Colorado(4/4/2025)
RR
Connecticut(4/4/2025)
RR
Florida(4/7/2025)
RR
Georgia(4/4/2025)
RR
Maine(4/4/2025)
RR
Maryland(4/4/2025)
RR
Massachusetts(4/4/2025)
RR
Michigan(4/4/2025)
RR
Missouri(4/4/2025)
RR
New Jersey(10/2/2025)
RR
New Mexico(4/4/2025)
RR
North Carolina(4/4/2025)
RR
Ohio(4/4/2025)
RR
Oregon(4/4/2025)
RR
Pennsylvania(4/4/2025)
RR
South Carolina(4/4/2025)
RR
Tennessee(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/5/2025)
RR
Utah(4/7/2025)
RR
Vermont(4/4/2025)
RR
Virginia(4/4/2025)
IAR
Virginia(4/7/2025)
RR
Washington(4/4/2025)
RR
West Virginia(4/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO 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.
