HM
Harold J. Meyers
STIFEL, NICOLAUS & COMPANY
LOS ANGELES, CA 90067
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CRD#: 333327
HM
Professional summary
Harold Jay Meyers, who also goes by Bud Meyers, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Los Angeles, California.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Harold has worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 41 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bud Meyers
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 Harold Jay Meyers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Jay Meyers'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
July 9, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067RIA
BD
CRD#: 793
LOS ANGELES, CA
Current
July 14, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067RIA
BD
CRD#: 793
LOS ANGELES, CA
Past
January 1, 2008 - July 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BEVERLY HILLS, CA
Past
January 1, 2008 - July 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BEVERLY HILLS, CA
Past
December 8, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
BEVERLY HILLS, CA
Past
December 5, 2003 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BEVERLY HILLS, CA
Past
July 11, 2001 - December 17, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
January 14, 1997 - July 11, 2001
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
June 26, 1995 - July 28, 1995
MEYERS SECURITIES CORPORATION
BD
CRD#: 7183
ROCHESTER, NY
Past
March 30, 1995 - December 19, 1996
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
February 24, 1978 - March 24, 1995
MEYERS SECURITIES CORPORATION
BD
CRD#: 7183
ROCHESTER, NY
Past
January 20, 1978 - March 10, 1978
LOEB PARTNERS
BD
CRD#: 7534
Past
January 4, 1977 - January 20, 1978
LOEB RHOADES & CO. INC.
BD
CRD#: 7502
Past
May 16, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
BD
CRD#: 525
Past
March 12, 1969 - April 21, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
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
Arizona(5/28/2020)
IAR
California(7/9/2009)
RR
California(7/14/2009)
RR
Colorado(7/14/2009)
RR
District of Columbia(11/17/2021)
RR
Florida(8/4/2025)
RR
Louisiana(9/29/2020)
RR
Maryland(4/12/2022)
RR
Massachusetts(6/18/2019)
RR
Nevada(9/3/2010)
RR
New Hampshire(2/13/2019)
RR
New Jersey(7/14/2009)
RR
New York(7/14/2009)
RR
Oregon(7/18/2017)
RR
Texas(7/14/2009)
RR
Utah(10/21/2016)
RR
Wisconsin(5/28/2025)
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
Series 41
Date: 8/28/1978
NYSE Allied Member ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 2/21/1958
Registered Representative ExaminationSRO 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.
