SR
Sylvia Rheker
STIFEL, NICOLAUS & COMPANY
Palm Beach Gardens, FL 33410
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CRD#: 4365376
SR
Professional summary
Sylvia Rheker, who also goes by Sylvia Tracz, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Palm Beach Gardens, Florida.
Sylvia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sylvia has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sylvia Tracz
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) DBA - RETIREMENT INCOME STRATEGIES, INC. - 4500 PGA BLVD., SUITE 201, PALM BEACH GARDENS, FL 33418; INVESTMENT RELATED; PROVIDE ADMINSTRATIVE ASSISTANCE WITH MARKETING AND SALES; SALES ASSISTANT; 100% OF TIME SPENT.
CRS (Client Relationship Summary) - RIA
Click below to view Sylvia Rheker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sylvia Rheker'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
October 25, 2023 - 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
October 25, 2023 - 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 23, 2023 - October 25, 2023
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
Vero Beach, FL
Past
January 11, 2023 - October 25, 2023
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
August 2, 2022 - September 2, 2022
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Palm Beach Gardens, FL
Past
July 25, 2022 - September 2, 2022
KOVACK SECURITIES INC.
BD
CRD#: 44848
Palm Beach Gardens, FL
Past
June 16, 2022 - July 26, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Vero Beach, FL
Past
June 6, 2022 - July 26, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
VERO BEACH, FL
Past
April 19, 2018 - July 5, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NAPLES, FL
Past
April 19, 2018 - July 5, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NAPLES, FL
Past
September 2, 2008 - April 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPLES, FL
Past
January 1, 2008 - April 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NAPLES, FL
Past
November 7, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
NAPLES, FL
Past
April 10, 2002 - November 6, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NAPLES, FL
Past
April 3, 2001 - April 9, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(10/26/2023)
RR
Alaska(1/2/2024)
RR
Arizona(10/25/2023)
RR
Arkansas(10/25/2023)
RR
California(10/25/2023)
RR
Colorado(10/25/2023)
RR
Connecticut(10/25/2023)
RR
Delaware(10/25/2023)
RR
District of Columbia(10/25/2023)
RR
Florida(10/25/2023)
IAR
Florida(10/26/2023)
RR
Georgia(10/25/2023)
RR
Hawaii(1/2/2024)
RR
Idaho(1/2/2024)
RR
Illinois(10/25/2023)
RR
Indiana(10/26/2023)
RR
Iowa(1/2/2024)
RR
Kansas(10/25/2023)
RR
Kentucky(10/25/2023)
RR
Louisiana(10/25/2023)
RR
Maine(10/25/2023)
RR
Maryland(10/25/2023)
RR
Massachusetts(7/26/2024)
RR
Michigan(10/25/2023)
RR
Minnesota(10/27/2023)
RR
Mississippi(1/2/2024)
RR
Missouri(10/25/2023)
RR
Montana(10/25/2023)
RR
Nebraska(10/25/2023)
RR
Nevada(10/25/2023)
RR
New Hampshire(10/25/2023)
RR
New Jersey(10/25/2023)
RR
New Mexico(10/25/2023)
RR
New York(10/25/2023)
RR
North Carolina(10/25/2023)
RR
North Dakota(1/2/2024)
RR
Ohio(10/25/2023)
RR
Oklahoma(10/25/2023)
RR
Oregon(10/25/2023)
RR
Pennsylvania(10/25/2023)
RR
Rhode Island(10/25/2023)
RR
South Carolina(10/25/2023)
RR
South Dakota(10/25/2023)
RR
Texas(10/25/2023)
IAR
Texas(10/25/2023)
RR
Utah(10/25/2023)
RR
Vermont(10/25/2023)
RR
Virgin Islands(10/25/2023)
RR
Virginia(10/25/2023)
RR
Washington(10/25/2023)
RR
West Virginia(1/2/2024)
RR
Wisconsin(10/25/2023)
RR
Wyoming(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
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.
