Catherine M. Poe
Professional summary
Catherine Marie Poe, who also goes by Catherine Marie Widmann, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Louis, Missouri and KEEFE, BRUYETTE & WOODS, INC. located in St. Louis, Missouri.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2006. Catherine has worked at 6 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catherine Marie Poe's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102July 24, 2015 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 501 N. Broadway, St. Louis, MO 63102October 20, 2015 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102October 20, 2015 - August 1, 2023
MILLER BUCKFIRE & CO., LLC
June 2, 2015 - June 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2013 - May 18, 2015
KEEFE, BRUYETTE & WOODS, INC.
July 11, 2013 - May 18, 2015
MILLER BUCKFIRE & CO., LLC
January 13, 2012 - May 18, 2015
STIFEL INDEPENDENT ADVISORS, LLC
February 20, 2009 - May 18, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2008 - February 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
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.
