CT
Christopher Thompson
STIFEL, NICOLAUS & COMPANY
Walnut Creek, CA 94596
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CRD#: 4631462
CT
Professional summary
Christopher Thompson, who also goes by Chris Alan Thompson, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Walnut Creek, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Alan Thompson
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. N/A; 2261 GENOA STREET DANVILLE CA 94506; CO-PUBLISHED A CHILDREN'S BOOK WITH MY DAUGHTER THAT MAY HAVE FUTURE ROYALTIES; CO-AUTHOR; MANAGE RELATIONSHIP WITH PUBLISHER; AFFILIATION STARTED 12/17/2013; 1 HOUR PER WEEK; DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 2. YouthDraft; 2261 Genoa Street Danvilel CA 94506; It is an app for use in youth sports assessments and drafting; advisor and cofounder; advise kids on the business; affiliation started 12/01/2015; 10 hours per month; not during securities trading hours; not investment related. 3. Dugout Daddy; 2261 Geona Street Danville CA 94506; Neoprene sleeve for use on baseball and softball bats; Manufactures and sells bat sleeves; advisor to his son on the business; affiliation started 08/03/2015; 5 hours per month; not during securities trading hours; not investment related. 4. Rental Property; 1696 Gil Way, Vista, CA 92084; Rental Real Estate; Owner; 12/15/2020; 8 Hours per Month; Not During Securities Trading Hours; Investment-Related. 5. Braided Stream Enterprises; 26 Walnut Meadow Lane Danville, CA 94506; This is an S-Corp that my wife and I were advised to set up for tax purposes; I am a co-owner and trustee of this entity; Advise and oversee investments; 12/27/2024; 5hrs/qtr; Not during securities trading hours; Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thompson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Thompson'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
June 19, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596RIA
BD
CRD#: 793
Walnut Creek, CA
Current
June 19, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596RIA
BD
CRD#: 793
Walnut Creek, CA
Past
May 21, 2003 - June 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WALNUT CREEK, CA
Past
April 10, 2003 - June 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WALNUT CREEK, 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(6/23/2017)
RR
California(6/19/2015)
IAR
California(6/24/2015)
RR
Florida(6/19/2015)
RR
Maryland(8/22/2024)
RR
Michigan(6/19/2015)
RR
Missouri(7/21/2020)
RR
Nevada(6/14/2021)
RR
New Mexico(8/10/2018)
RR
North Carolina(3/20/2024)
RR
Oklahoma(8/23/2023)
RR
Oregon(6/19/2015)
RR
Texas(6/19/2015)
IAR
Texas(6/19/2015)
RR
Virginia(1/6/2025)
RR
Washington(6/19/2015)
Exams
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Walnut Creek, CA 94596TRUST BUT VERIFY
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