JL
Julia D. Lovejoy
STIFEL, NICOLAUS & COMPANY
Raleigh, NC 27612
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CRD#: 4633847
JL
Professional summary
Julia Denise Lovejoy, who also goes by Julia Denise Chapman, Deni Lovejoy, Julia Denise Lovejoy, Julia Lovejoy, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Raleigh, North Carolina.
Julia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Julia has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Julia Denise Chapman | Deni Lovejoy | Julia Denise Lovejoy | Julia Lovejoy
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Julia Denise Lovejoy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julia Denise Lovejoy'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 26, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3605 Glenwood Ave., Suite 390, Raleigh, NC 27612RIA
BD
CRD#: 793
Raleigh, NC
Current
June 26, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3605 Glenwood Ave., Suite 390, Raleigh, NC 27612RIA
BD
CRD#: 793
Raleigh, NC
Past
January 12, 2022 - June 21, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
RALEIGH, NC
Past
January 12, 2022 - June 21, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RALEIGH, NC
Past
September 27, 2021 - October 29, 2021
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
RALEIGH, NC
Past
September 27, 2021 - October 29, 2021
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
RALEIGH, NC
Past
March 5, 2019 - September 13, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CARY, NC
Past
October 16, 2018 - September 13, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CARY, NC
Past
September 23, 2016 - July 24, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RALEIGH, NC
Past
June 20, 2016 - July 24, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RALEIGH, NC
Past
July 3, 2015 - June 20, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
March 21, 2007 - April 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RALEIGH, NC
Past
October 1, 2003 - June 8, 2005
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
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(6/26/2024)
RR
Arizona(6/26/2024)
RR
California(6/26/2024)
RR
Colorado(6/26/2024)
RR
Connecticut(6/26/2024)
RR
Delaware(6/26/2024)
RR
District of Columbia(7/26/2024)
RR
Florida(6/26/2024)
RR
Georgia(6/26/2024)
RR
Idaho(7/26/2024)
RR
Illinois(6/26/2024)
RR
Indiana(6/26/2024)
RR
Iowa(8/30/2024)
RR
Kansas(6/26/2024)
RR
Louisiana(6/26/2024)
RR
Maryland(6/26/2024)
RR
Massachusetts(7/26/2024)
RR
Michigan(6/26/2024)
RR
Minnesota(6/26/2024)
RR
Mississippi(6/26/2024)
RR
Missouri(6/26/2024)
RR
Montana(6/26/2024)
RR
Nebraska(6/26/2024)
RR
Nevada(6/26/2024)
RR
New Jersey(6/26/2024)
RR
New Mexico(6/26/2024)
RR
New York(6/26/2024)
RR
North Carolina(6/26/2024)
IAR
North Carolina(6/26/2024)
RR
Ohio(6/26/2024)
RR
Oregon(6/26/2024)
RR
Pennsylvania(6/26/2024)
RR
South Carolina(6/26/2024)
RR
South Dakota(6/26/2024)
RR
Texas(6/26/2024)
IAR
Texas(6/26/2024)
RR
Vermont(6/26/2024)
RR
Virginia(6/26/2024)
RR
Washington(6/26/2024)
RR
Wisconsin(6/26/2024)
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Raleigh, NC 27612TRUST BUT VERIFY
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