MP
Monica L. Peterson
STIFEL, NICOLAUS & COMPANY
Visalia, CA 93277
Some features on this profile are disabled
CRD#: 4197872
MP
Professional summary
Monica Lynn Peterson, who also goes by Monica Lynn Lewis, Monica Lynn Smith, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Visalia, California.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Monica has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Monica Lynn Lewis | Monica Lynn Smith
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. Stan and Monica Peterson; 209 N Santa Clara Tulare CA 93274; Rental property; Co-Property Owner; none, husband handles the rental; 01/01/2011; 0 hours per day; not during securities trading hours; not investment-related. 2. Legal Name- Stan Peterson and Monica Peterson; 1302 N Hall St. Visalia CA 93292; Rental Property; Owner; duties- none- husband takes care of the rental activities; affiliation started 04/01/2013; 0 hours per day; not during securities trading hours; not investment-related. 3. Legal Name- Stan Peterson and Monica Peterson; 2210 S Church Visalia CA 93277; Rental Property; Owner; duties- maintain property and pays taxes on it; husband takes care of the rental activities; affiliation started 12/01/2016; 0 hours per day; not during securities trading hours; not investment-related. 4. Legal Name- Self-husband and her own rental property; 706-708 W Main Visalia CA 93292; rental property for income; owner with her husband; husband handles all the duties; affiliation started 04/20/2017; 0.00 hours per day; not during securities trading hours; not investment-related. 5. Legal Name- Self- bought new rental property; 1101 Center Visalia CA 93292; income property owned by husband and her; owner; husband handles the rental; affiliation started 06/16/2017; 0.00 hours per day; not during securities trading hours; not investment-related. 6. Visalia Breakfast Rotary; 625 N. Ranch Visalia CA 93277; Service Organization; Member; Community Service; 10/26/2017; 4.00 Hour(s) Per Month; during securities trading hours; Not Investment-Related. 7. Legal Name - Stan Peterson and Monica Peterson; 575 Eaton Ave Dinuba CA 93618; We own a few rental properties; owner; my husband handles the rental properties; 09/03/2024; 0 hrs/day; Not during securities trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Monica Lynn Peterson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Monica Lynn Peterson'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 5, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 217 East Caldwell, Visalia, CA 93277Office #2: 7112 N. Fresno Street 180, Fresno, CA 93720RIA
BD
CRD#: 793
Visalia, CA
Current
December 4, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 217 East Caldwell, Visalia, CA 93277Office #2: 7112 N. Fresno Street 180, Fresno, CA 93720RIA
BD
CRD#: 793
Visalia, CA
Past
January 1, 2008 - December 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
VISALIA, CA
Past
January 1, 2008 - December 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
VISALIA, CA
Past
November 19, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
VISALIA, CA
Past
June 14, 2000 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
VISALIA, CA
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(2/8/2021)
RR
Arkansas(1/26/2022)
RR
California(12/4/2008)
IAR
California(12/5/2008)
RR
Colorado(1/3/2024)
RR
District of Columbia(5/31/2022)
RR
Florida(2/27/2023)
RR
Idaho(5/8/2017)
RR
Illinois(11/6/2018)
RR
Kansas(3/15/2024)
RR
Michigan(5/8/2017)
RR
Nevada(2/19/2021)
RR
New Jersey(5/10/2021)
RR
Ohio(5/8/2017)
RR
Oklahoma(2/22/2024)
RR
Oregon(5/8/2017)
RR
Pennsylvania(3/27/2023)
RR
South Dakota(9/11/2023)
RR
Tennessee(8/15/2024)
RR
Texas(8/27/2020)
IAR
Texas(8/28/2020)
RR
Utah(7/15/2024)
RR
Washington(5/8/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American 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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Visalia, CA 93277TRUST BUT VERIFY
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