EM
Elena E. Mischon
STIFEL, NICOLAUS & COMPANY
HOUSTON, TX 77024
Some features on this profile are disabled
CRD#: 4421723
EM
Professional summary
Elena Estrada Mischon, who also goes by Elena Teresa Estrada, Elena Teresa Torres Estrada, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Houston, Texas.
Elena is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Elena has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elena Teresa Estrada | Elena Teresa Torres Estrada
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.
NAME OF OTHER BUSINESS: Spring Branch Independent School District Council of Parent Teacher Associations/ INVESTMENT RELATED?: N/ ADDRESS: 955 Campbell RoadHoustonTexas / NATURE OF THE BUSINESS:"Spring Branch Council of PTAs (CPTA) is a collaboration of all SBISD PTA's, made up of more than 12,000 members, unified in making every child's potential a reality. The CPTA partners with Texas PTA, Spring Branch ISD Leadership, and the Spring Branch Education Foundation. The CPTA meets regularly, and the CPTA executive committee advises and supports each local (campus) PTA and is available to mentor and assist. For more than 125 years, the Parent-Teacher Association (PTA) has provided support, information, and resources to families focused on the health and education of children. As the largest volunteer child advocacy association in the nation, PTA reminds our country of its obligations to children and provides parents and families with a powerful voice to speak on behalf of every child while providing the best tools for parents to help their children be successful students." / POSITION: Executive Board member, my role is to organize and coordinate Founder's Day Dinner in February 2023./ DUTIES:I am the chair for the annual Founder's Day Dinner that celebrates the day that the Parent Teacher Association was founded. I coordinate the venue, food, decorations, and presentation of awards to the school districts teachers that have been nominated / START DATE:8/1/2022 / HOURS DEVOTED TO BUSINESS: NA
CRS (Client Relationship Summary) - RIA
Click below to view Elena Estrada Mischon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elena Estrada Mischon'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
April 17, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 730 Town And County Blvd. Suite 100, Houston, TX 77024RIA
BD
CRD#: 793
HOUSTON, TX
Current
April 17, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 730 Town And County Blvd. Suite 100, Houston, TX 77024RIA
BD
CRD#: 793
HOUSTON, TX
Past
October 20, 2022 - April 29, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
New Braunfels, TX
Past
October 20, 2022 - April 29, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
New Braunfels, TX
Past
June 1, 2009 - October 27, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Houston, TX
Past
June 1, 2009 - October 27, 2022
MORGAN STANLEY
BD
CRD#: 149777
Houston, TX
Past
February 12, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
October 24, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
Past
August 24, 2001 - August 20, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
California(6/24/2025)
RR
Colorado(6/24/2025)
RR
Florida(6/24/2025)
RR
Georgia(6/24/2025)
RR
Illinois(6/24/2025)
RR
Indiana(6/24/2025)
RR
Iowa(7/28/2025)
RR
Louisiana(8/26/2025)
RR
Maryland(6/24/2025)
RR
Minnesota(8/26/2025)
RR
Mississippi(6/24/2025)
RR
North Carolina(6/24/2025)
RR
Texas(4/17/2025)
IAR
Texas(4/17/2025)
RR
Utah(7/28/2025)
RR
Virginia(6/24/2025)
RR
Washington(6/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
