MS
Martin D. Shafiroff
STIFEL, NICOLAUS & COMPANY
Palm Beach Gardens, FL 33410
Some features on this profile are disabled
CRD#: 419623
MS
Professional summary
Martin Donald Shafiroff is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Palm Beach Gardens, Florida.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Martin has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 24 and Series 40 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.
1. Baruch College Fund; One Bernard Baruch Way New York NY 10010; Non profit for Baruch College; Board of Trustees, Trustee Advisory; 01/02/2006; 1 hour per year; not during securities trading hours; not investment related. 2. MARTIN D SHAFIROFF & JEAN SHAFIROFF FOUNDATION; 635 PARK NEW YORK NY 10065; TO MAKE CHARITABLE CONTRIBUTIONS; TRUSTEE; WRITES CHECKS, WIRES, INVESTMENTS; 12/22/1986; 2 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 3. SHAFIROFF ENTERPRISES LLC; 635 PARK AVE, 5TH FL NEW YORK NY 10065; FOR PRIVATE EQUITY INVESTMENTS; MANAGER; MANAGING LLC INVESTMENTS; 11/27/2012; 2 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 4. Southampton Animal Shelter; 102 Old Riverhead Road, Hampton Bays, NY 11946; Animal Shelter; Board of Directors; 01/01/2018; 3 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Martin Donald Shafiroff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martin Donald Shafiroff'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
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 793
Palm Beach Gardens, FL
Current
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 793
Palm Beach Gardens, FL
Past
January 21, 2009 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
September 22, 2008 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
September 18, 1996 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
June 26, 1984 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
October 3, 1969 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
BD
CRD#: 514
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(12/4/2015)
RR
Alaska(12/4/2015)
RR
Arizona(12/4/2015)
RR
Arkansas(12/4/2015)
RR
California(12/4/2015)
RR
Colorado(12/4/2015)
RR
Connecticut(12/4/2015)
RR
Delaware(12/4/2015)
RR
District of Columbia(12/4/2015)
RR
Florida(12/4/2015)
IAR
Florida(11/23/2021)
RR
Georgia(12/4/2015)
RR
Hawaii(12/4/2015)
RR
Idaho(12/4/2015)
RR
Illinois(12/4/2015)
RR
Indiana(12/4/2015)
RR
Iowa(12/4/2015)
RR
Kansas(12/4/2015)
RR
Kentucky(12/4/2015)
RR
Louisiana(12/4/2015)
RR
Maine(12/4/2015)
RR
Maryland(12/4/2015)
RR
Massachusetts(12/4/2015)
RR
Michigan(12/4/2015)
RR
Minnesota(12/4/2015)
RR
Mississippi(12/4/2015)
RR
Missouri(12/4/2015)
RR
Montana(12/4/2015)
RR
Nebraska(12/4/2015)
RR
Nevada(12/4/2015)
RR
New Hampshire(12/4/2015)
RR
New Jersey(12/4/2015)
RR
New Mexico(3/21/2025)
RR
New York(12/4/2015)
IAR
New York(5/26/2021)
RR
North Carolina(12/4/2015)
RR
North Dakota(12/4/2015)
RR
Ohio(12/4/2015)
RR
Oklahoma(12/4/2015)
RR
Oregon(12/4/2015)
RR
Pennsylvania(12/4/2015)
IAR
Pennsylvania(12/4/2015)
RR
Rhode Island(12/4/2015)
RR
South Carolina(12/4/2015)
RR
South Dakota(1/2/2018)
RR
Tennessee(12/4/2015)
RR
Texas(12/4/2015)
IAR
Texas(12/4/2015)
RR
Utah(12/4/2015)
RR
Vermont(12/4/2015)
RR
Virgin Islands(4/4/2022)
RR
Virginia(12/4/2015)
RR
Washington(12/4/2015)
RR
West Virginia(12/4/2015)
RR
Wisconsin(12/4/2015)
RR
Wyoming(12/4/2015)
Exams
State Security Law Exam
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
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/29/1966
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 5/8/1978
Registered Principal 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
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.
