Christopher D. Menzies
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.
Christopher David Menzies, ChFC®, who also goes by Christopher D Menzies, Christopher D. Menzies, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2022 - February 6, 2024
STIFEL INDEPENDENT ADVISORS, LLC
June 1, 2022 - February 6, 2024
STIFEL INDEPENDENT ADVISORS, LLC
September 25, 2020 - June 2, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 25, 2020 - June 2, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 10, 2009 - October 12, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 19, 2009 - October 12, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 1, 2005 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
July 29, 2005 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
April 27, 2000 - August 4, 2005
MORGAN STANLEY DW INC.
April 26, 2000 - August 4, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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
Current Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
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.
