TR
Toni L. Rose
STIFEL, NICOLAUS & COMPANY
Fort Worth, TX 76102
Some features on this profile are disabled
CRD#: 4840368
TR
Professional summary
Toni Lynn Rose is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Fort Worth, Texas.
Toni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Toni has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Bucking Bulls Online LLC; 2300 E Hwy 380, Decatur, TX 76234; Online Bucking Bull site with occational competitions online; Member; occasional help with events as needed; 01/01/2014; 2.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related. 2. Wall Street Cattle Company LLC; 1880 Jay Bird Lane Springtown TX 76082; home and equestrian facility; Owner/member; 01/14/2020; 1.00 Hour(s) Per Day; not during securities trading hours; Investment-Related. 3. Wall Street Equine Events, LLC; 1880 Jaybird Ln, Springtown, TX 76082; Hosting horse and cattle events; Horse and cattle related leasing facility and for liability protection real estate; Owner; 05/01/2020; 1 Hour per Week; Not During Securities Trading Hours; Not Investment-Related. 4. U OL' Goat Committee; 201 Main St #1400 Fort Worth TX 76102; Charity to raise funds to buy goats at the local stock shows for the local ag students and at need programs; Committee member; Help for fund raising events; 08/01/2025; 2 hrs/month; Not during security trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Toni Lynn Rose's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Toni Lynn Rose'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
January 17, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 300 Throckmorton Street Suite 1400, Fort Worth, TX 76102RIA
BD
CRD#: 793
Fort Worth, TX
Current
January 17, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 300 Throckmorton Street Suite 1400, Fort Worth, TX 76102RIA
BD
CRD#: 793
Fort Worth, TX
Past
August 1, 2014 - January 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WICHITA FALLS, TX
Past
August 1, 2014 - January 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WICHITA FALLS, TX
Past
January 21, 2014 - August 1, 2014
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FORT WORTH, TX
Past
September 21, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
FORT WORTH, TX
Past
September 21, 2010 - August 1, 2014
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
FORT WORTH, TX
Past
April 30, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
FORT WORTH, TX
Past
April 30, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
FORT WORTH, TX
Past
October 23, 2007 - April 21, 2008
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
PHOENIX, AZ
Past
October 15, 2007 - April 21, 2008
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
September 21, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
PHOENIX, AZ
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(10/3/2019)
RR
Arizona(1/17/2019)
RR
Arkansas(1/17/2019)
RR
California(1/17/2019)
RR
Colorado(1/17/2019)
RR
Connecticut(1/17/2019)
RR
Delaware(10/4/2021)
RR
Florida(1/17/2019)
RR
Georgia(1/17/2019)
RR
Hawaii(1/17/2019)
RR
Illinois(1/17/2019)
RR
Indiana(1/17/2019)
RR
Louisiana(1/17/2019)
RR
Maryland(10/5/2020)
RR
Massachusetts(1/17/2019)
RR
Missouri(1/17/2019)
RR
New Mexico(1/17/2019)
RR
New York(1/17/2019)
RR
North Carolina(1/23/2019)
RR
Oklahoma(1/17/2019)
RR
Oregon(1/24/2023)
RR
Pennsylvania(1/17/2019)
RR
South Carolina(1/17/2019)
RR
Tennessee(1/17/2019)
RR
Texas(1/17/2019)
IAR
Texas(1/17/2019)
RR
Utah(1/17/2019)
RR
Virginia(8/14/2024)
RR
Washington(1/17/2019)
RR
Wisconsin(10/2/2025)
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.
