Robert E. Paschen

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CRD#: 357398

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Earl Paschen was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 15 firms and has passed the Series 63, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 1, 2006 - February 6, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

NAPLES, FL

Past

August 16, 1994 - December 5, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

MEQUON, WI

Past

September 4, 1990 - August 23, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 25, 1990 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

October 27, 1988 - February 3, 1990

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

July 23, 1987 - October 26, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 3, 1982 - July 6, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 13, 1979 - September 13, 1982

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

February 23, 1979 - December 1, 1979

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

December 9, 1977 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

CRD#: 7501

Past

November 18, 1975 - December 30, 1977

WOOD, STRUTHERS & WINTHROP INC

CRD#: 903

Past

October 17, 1974 - December 5, 1975

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

February 22, 1974 - November 14, 1975

BLYTH EASTMAN DILLON

CRD#: 1000003

Past

December 4, 1972 - March 23, 1974

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

April 19, 1968 - December 27, 1972

A G BECKER

CRD#: 1000001

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 8/5/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 1/24/1985

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/29/1961

Registered Representative 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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert E. Paschen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

A. G. EDWARDS & SONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

BLUNT ELLIS & LOEWI INCORPORATED

PIPER SANDLER & CO.

KIDDER, PEABODY & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

DAIN RAUSCHER INCORPORATED

MOSELEY SECURITIES CORPORATION

MOSELEY, HALLGARTEN & ESTABROOK INC

WOOD, STRUTHERS & WINTHROP INC

CITIGROUP GLOBAL MARKETS INC.

BLYTH EASTMAN DILLON

REYNOLDS SECURITIES, INC.

A G BECKER

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1980

SIE

Date: 2/6/2017

PC

Date: 1/24/1985

Series 1

Date: 12/29/1961

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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