AM
Amber R. Mayberry
STIFEL, NICOLAUS & COMPANY
ST LOUIS, MO 63102
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CRD#: 4874416
AM
Professional summary
Amber R Mayberry, who also goes by Amber R Barger, Amber Ruth Barger, Amber Ruth Mayberry, Amber R Puckett, Amber Ruth Puckett, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St Louis, Missouri and STIFEL INDEPENDENT ADVISORS, LLC located in St Louis, Missouri.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Amber has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amber R Barger | Amber Ruth Barger | Amber Ruth Mayberry | Amber R Puckett | Amber Ruth Puckett
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. Photographer; 1335 Lakeview Dr Waterloo, IL 62298; Photography; Owner; Photography; 10/03/2025; 20hrs/mth; Not during securities trading hours; No investment related
CRS (Client Relationship Summary) - RIA
Click below to view Amber R Mayberry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amber R Mayberry'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
September 3, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N Broadway, St Louis, MO 63102RIA
BD
CRD#: 793
ST LOUIS, MO
Current
March 20, 2020 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 501 N Broadway, St Louis, MO 63102RIA
BD
CRD#: 28218
ST LOUIS, MO
Current
September 10, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Current
March 19, 2020 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Past
December 13, 2013 - April 16, 2015
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
November 25, 2013 - April 16, 2015
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
April 3, 2012 - November 15, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
GLENDALE, AZ
Past
March 21, 2012 - November 15, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
GLENDALE, AZ
Past
November 29, 2010 - October 29, 2011
WFG INVESTMENTS, INC.
BD
CRD#: 22704
PEORIA, AZ
Past
July 28, 2010 - December 8, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
May 14, 2008 - June 11, 2010
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
January 1, 2008 - May 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BRADENTON, FL
Past
April 3, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BRADENTON, FL
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
Illinois(9/25/2017)
IAR
Missouri(9/3/2015)
RR
Missouri(9/14/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
