MS
Michael T. Stumpf
STIFEL, NICOLAUS & COMPANY
ST. LOUIS, MO 63102
Some features on this profile are disabled
CRD#: 4986613
MS
Professional summary
Michael Todd Stumpf, who also goes by Mike Stumpf, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Louis, Missouri and STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Stumpf
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) - BD
Click below to view Michael Todd Stumpf'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
August 16, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 N. Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Current
March 27, 2013 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Past
August 22, 2005 - July 31, 2012
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
WOODLAND HILLS, 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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)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.
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(6/13/2017)
RR
Alaska(6/13/2017)
RR
Arizona(6/13/2017)
RR
Arkansas(6/13/2017)
RR
California(8/16/2012)
RR
Colorado(6/13/2017)
RR
Connecticut(6/13/2017)
RR
Delaware(6/13/2017)
RR
District of Columbia(6/13/2017)
RR
Florida(6/13/2017)
RR
Georgia(6/13/2017)
RR
Hawaii(6/13/2017)
RR
Idaho(6/13/2017)
RR
Illinois(6/13/2017)
RR
Indiana(6/13/2017)
RR
Iowa(6/13/2017)
RR
Kansas(6/13/2017)
RR
Kentucky(6/13/2017)
RR
Louisiana(6/13/2017)
RR
Maine(6/13/2017)
RR
Maryland(6/13/2017)
RR
Massachusetts(6/13/2017)
RR
Michigan(6/13/2017)
RR
Minnesota(6/13/2017)
RR
Mississippi(6/13/2017)
RR
Missouri(8/16/2012)
RR
Montana(6/13/2017)
RR
Nebraska(6/13/2017)
RR
Nevada(6/13/2017)
RR
New Hampshire(6/13/2017)
RR
New Jersey(6/13/2017)
RR
New Mexico(6/13/2017)
RR
New York(6/13/2017)
RR
North Carolina(6/20/2017)
RR
North Dakota(6/13/2017)
RR
Ohio(6/13/2017)
RR
Oklahoma(6/13/2017)
RR
Oregon(6/13/2017)
RR
Pennsylvania(6/13/2017)
RR
Rhode Island(6/13/2017)
RR
South Carolina(6/13/2017)
RR
South Dakota(6/13/2017)
RR
Tennessee(6/13/2017)
RR
Texas(6/13/2017)
RR
Utah(6/13/2017)
RR
Vermont(6/13/2017)
RR
Virginia(6/13/2017)
RR
Washington(6/13/2017)
RR
West Virginia(6/13/2017)
RR
Wisconsin(6/13/2017)
RR
Wyoming(6/13/2017)
Exams
State Security Law Exam
General Industry/Product 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
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
