Richard D. Roussel
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.
Richard Devlin Roussel was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2008 - May 11, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 26, 2008 - May 11, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 7, 2003 - April 2, 2008
AMERIPRISE ADVISOR SERVICES, INC.
April 11, 2003 - April 2, 2008
AMERIPRISE ADVISOR SERVICES, INC.
December 4, 1992 - April 25, 2003
CITIGROUP GLOBAL MARKETS INC.
July 17, 1989 - December 11, 1992
J.C. BRADFORD & CO.
October 17, 1988 - July 20, 1989
LEGG MASON WOOD WALKER, INCORPORATED
February 17, 1981 - October 17, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 8, 1978 - February 1, 1981
A. G. EDWARDS & SONS, INC.
September 24, 1973 - January 27, 1979
THOMSON MCKINNON SECURITIES INC.
May 23, 1972 - November 2, 1973
KOHLMEYER & CO.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 10/24/1979
AMEX Put and Call ExamSeries 1
Date: 5/13/1972
Registered Representative ExaminationSeries 8
Date: 1/19/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
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 | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| 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.
