JR
Jon M. Randall
STIFEL, NICOLAUS & COMPANY
Southfield, MI 48034
Some features on this profile are disabled
CRD#: 4966118
JR
Professional summary
Jon M Randall, who also goes by Jonathan Michael Randall, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Southfield, Michigan.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jon has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Michael Randall
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.City of Royal Oak Michigan;211 S Williams Street, Royal Oak, MI 48067; Historic Preservation; Rehabilitation Board of Appeals; hearing special financing requests relate to city's community development block grant funded housing rehabilitation program; 01/22/2019; 2.00 Hour(s) Per Month; not during securities trading hours; not investment-related. 2. Detroit Cristo Rey School; 5679 Vernor Highway, Detroit, MI 48209; Private Catholic School; Development Committee; Meet to discuss ways to engage community and do outreach for the school; 01/01/2017; 20 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 3. Detroit Athletic Club; 241 Madison, Detroit, MI 48226; Athletics Committee Member; Help oversee initiatives of the club; 02/01/2022; 2 Hours per Month; During Securities Trading Hours; Not Investment-Related. 4. Feldman Automotive Children's Miracle Celebrity Invitational Committee; 26901 Beaumont Boulevard Suite 5D, Southfield, MI 48033; To put together a series of golf fundraising events to benefit the Children's Miracle Network and Mark Wahlberg Foundation; Committee Member tasked with helping raise funds for the outings; Fundraising, meeting with potential sponsors to help get them involved in the various causes; 03/09/2023; 5 Hours per Month; During Securities Trading Hours; Not Investment-Related 5. Detroit Athletic Club; 241 Madison, Detroit, MI 48226; Blackballer Officer-Secretary; Recruitment to the group of Blackballers, Coordinate the chairpersons of the respective sports to write monthly articles for the Detroit Athletic Club News Magazine; 7/17/23; 5 Hours per Month; During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Jon M Randall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jon M Randall'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 16, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034RIA
BD
CRD#: 793
Southfield, MI
Current
January 16, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034RIA
BD
CRD#: 793
Southfield, MI
Past
October 5, 2010 - January 5, 2018
MORGAN STANLEY
RIA
CRD#: 149777
GROSSE POINTE FARMS, MI
Past
June 1, 2009 - January 5, 2018
MORGAN STANLEY
BD
CRD#: 149777
GROSSE POINTE FARMS, MI
Past
July 15, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GROSSE POINTE, MI
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(1/16/2018)
RR
California(1/16/2018)
RR
Colorado(3/28/2018)
RR
Delaware(9/29/2022)
RR
Florida(5/1/2018)
RR
Georgia(2/1/2018)
RR
Hawaii(5/28/2025)
RR
Illinois(3/28/2018)
RR
Maryland(11/23/2021)
RR
Massachusetts(4/3/2019)
RR
Michigan(1/16/2018)
IAR
Michigan(1/16/2018)
RR
Missouri(1/18/2023)
RR
Montana(6/26/2019)
RR
New Mexico(11/16/2018)
RR
New York(11/10/2023)
RR
North Carolina(11/28/2018)
RR
Ohio(6/10/2020)
RR
Pennsylvania(2/17/2022)
RR
Virginia(3/28/2018)
RR
Washington(1/16/2018)
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.
