Michael Settle

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Contact Information

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Disclosures on record.

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.

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Years of Experience

12 years registered in the securities industry

Current & Past Employments

Current

STIFEL, NICOLAUS & COMPANY, INCORPORATEDCurrent·CRD# 793

RIA

BD

One North Wacker Suite 3400, Chicago, IL 60606

March 14, 2025 - Present

Past

GUGGENHEIM SECURITIES, LLCPast·CRD# 40638

BD

Chicago, IL

June 9, 2023 - March 26, 2025

WILLIAM BLAIRPast·CRD# 1252

BD

Chicago, IL

July 3, 2018 - April 12, 2023

KEYBANC CAPITAL MARKETS INC.Past·CRD# 566

BD

Chicago, IL

March 14, 2014 - June 15, 2018

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Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

6,478

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES BROCHURE (4/6/2026)

STIFEL'S WRAP FEE PROGRAM BROCHURE (4/6/2026)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (4/6/2026)

VISION PROGRAM DISCLOSURE BROCHURE (3/31/2026)

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
JANSEN, ANGELA MARIE	PRINCIPAL OPERATIONS OFFICER	3190211
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
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

394,160

AUM (Assets Under Management)

$197,532,233,502

Disclosures

Regulatory Event

192

Civil Event

2

Arbitration

61

Bond

2

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2026	Cover Page	Report
03/30/2026	Cover Page	Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/6/2025)

RR

Alaska
(11/6/2025)

RR

Arizona
(11/6/2025)

RR

Arkansas
(11/6/2025)

RR

California
(11/6/2025)

RR

Colorado
(11/6/2025)

RR

Connecticut
(11/6/2025)

RR

Delaware
(11/6/2025)

RR

District of Columbia
(11/6/2025)

RR

Florida
(11/6/2025)

RR

Georgia
(11/6/2025)

RR

Hawaii
(11/6/2025)

RR

Idaho
(11/6/2025)

RR

Illinois
(3/14/2025)

RR

Indiana
(11/6/2025)

RR

Iowa
(11/6/2025)

RR

Kansas
(11/6/2025)

RR

Kentucky
(11/6/2025)

RR

Louisiana
(11/6/2025)

RR

Maine
(11/6/2025)

RR

Maryland
(11/6/2025)

RR

Massachusetts
(11/6/2025)

RR

Michigan
(11/6/2025)

RR

Minnesota
(11/6/2025)

RR

Mississippi
(11/6/2025)

RR

Missouri
(11/6/2025)

RR

Montana
(11/6/2025)

RR

Nebraska
(11/6/2025)

RR

Nevada
(11/6/2025)

RR

New Hampshire
(11/6/2025)

RR

New Jersey
(11/6/2025)

RR

New Mexico
(11/6/2025)

RR

New York
(3/14/2025)

RR

North Carolina
(11/7/2025)

RR

North Dakota
(11/6/2025)

RR

Ohio
(11/6/2025)

RR

Oklahoma
(11/6/2025)

RR

Oregon
(11/6/2025)

RR

Pennsylvania
(11/6/2025)

RR

Puerto Rico
(11/6/2025)

RR

Rhode Island
(11/6/2025)

RR

South Carolina
(11/6/2025)

RR

South Dakota
(11/6/2025)

RR

Tennessee
(11/6/2025)

RR

Texas
(11/6/2025)

RR

Utah
(11/6/2025)

RR

Vermont
(11/6/2025)

RR

Virgin Islands
(11/6/2025)

RR

Virginia
(11/6/2025)

RR

Washington
(11/6/2025)

RR

West Virginia
(11/6/2025)

RR

Wisconsin
(11/6/2025)

RR

Wyoming
(11/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.