CS
Christopher J. Simms
STIFEL, NICOLAUS & COMPANY
Franklin, PA 16323
Some features on this profile are disabled
CRD#: 5506967
CS
Professional summary
Christopher James Simms, AIF® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Franklin, Pennsylvania.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Christopher has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FKL HOLDINGS; 1284 LIBERTY ST FRANKLIN PA 16323; REAL ESTATE HOLDINGS AND RENTAL; OWNER; PURHCASE PROPERTY, MAINTAIN PROPERTIES, NEGOCIATE LEASES, LANDLORD/TENANT RELATIONS; 12/12017; 5.0 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED. 2. Franklin Moving Forward; 1255 Liberty St, Franklin, PA 16323; Non-Profit for the betterment of the Franklin, PA area and it's local Chamber of Commerce; Chairman; Run meetings, organize the board and committees; 12/21/2020; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 3. Sandycreek Township Planning Commission; 878 Pone Ln Franklin PA 16323; Review Zoning and ordinance changes; Board Member; review and recommend zoning and ordinance changes; 1/3/22; 1 hour per month; not during sec trading hours; inv related 4. UPMC Northwest Board of Directors; 100 Fairfield Dr, Seneca, PA 16346; Hospital; Board Member; Review the administration of UPMC Northwest; 11/1/2024; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Christopher James Simms's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher James Simms'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®
Experience
Current
May 17, 2013 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1284 Liberty Street Pob 1060, Franklin, PA 16323RIA
BD
CRD#: 793
Franklin, PA
Current
May 17, 2013 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1284 Liberty Street Pob 1060, Franklin, PA 16323RIA
BD
CRD#: 793
Franklin, PA
Past
November 13, 2009 - May 20, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
TITUSVILLE, PA
Past
November 13, 2009 - May 20, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
TITUSVILLE, PA
Past
April 28, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
SAEGERTOWN, PA
Past
April 21, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
SAEGERTOWN, PA
Past
May 28, 2008 - November 25, 2008
EDWARD JONES
RIA
CRD#: 250
GROVE CITY, PA
Past
May 8, 2008 - November 25, 2008
EDWARD JONES
BD
CRD#: 250
GROVE CITY, PA
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(5/31/2018)
RR
Arkansas(10/5/2022)
RR
California(2/2/2021)
RR
Colorado(9/2/2024)
RR
Florida(1/6/2015)
RR
Georgia(3/5/2021)
RR
Illinois(2/26/2021)
RR
Indiana(6/6/2017)
RR
Kentucky(3/4/2021)
RR
Maine(6/27/2022)
RR
Maryland(2/1/2021)
RR
Massachusetts(11/21/2016)
RR
Michigan(2/25/2021)
RR
Minnesota(7/20/2021)
RR
Mississippi(3/1/2021)
RR
Missouri(8/23/2024)
RR
Montana(5/14/2025)
RR
Nebraska(12/17/2021)
RR
New Hampshire(3/4/2021)
RR
New Jersey(2/1/2019)
RR
New Mexico(1/3/2025)
RR
New York(10/15/2014)
RR
North Carolina(6/30/2018)
RR
Ohio(1/2/2015)
RR
Oklahoma(2/1/2019)
RR
Oregon(3/1/2021)
RR
Pennsylvania(5/17/2013)
IAR
Pennsylvania(5/17/2013)
RR
Rhode Island(12/23/2024)
RR
South Carolina(3/4/2021)
RR
Tennessee(11/18/2020)
IAR
Texas(7/26/2018)
RR
Texas(7/27/2018)
RR
Utah(3/5/2021)
RR
Vermont(9/21/2020)
RR
Virginia(11/28/2016)
RR
Wisconsin(2/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
