Brantley T. Mcduffie

STIFEL, NICOLAUS & COMPANY

Golden Valley, MN 55416

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CRD#: 5657486

Professional summary

Brantley Troy Mcduffie, who also goes by Brant Mcduffie, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Golden Valley, Minnesota.

Brantley is registered as a RR (Registered Representative) and started their career in finance in 2009. Brantley has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brant Mcduffie

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brantley Troy Mcduffie's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 5, 2015 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416Office #2: 121 Sw Morrison Suite 1800, Portland, OR 97204Office #3: 6312 S Fiddlers Green Circle Suite 520e, Greenwood Village, CO 80111Office #4: 8115 Preston Road, Dallas, TX 75225Office #5: 1401 Lawrence Street Suite 900, Denver, CO 80202Office #6: 787 7th Avenue, New York, NY 10019Office #7: 6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119Office #8: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #9: Millennium One 20 Ash Street, Conshohocken, PA, 19428Office #10: 701 East Lake Street, Wayzata, MN 55391Office #11: 27201 Puerta Real Suite 350, Mission Viejo, CA 92691Office #12: 400 Broadhollow Road Suite 401, Melville, NY 11747Office #13: 2650 North Military Trail Suite 400, Boca Raton, FL 33431Office #14: 4622 Pennsylvania Avenue Suite 1210, C, Kansas City, MO 64112Office #15: 1276 May River Road Suite 200, Bluffton, SC 29910Office #16: 500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596Office #17: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702Office #18: 6100 Fairview Road Suite 350 & Suite 700, Charlotte, NC 28210Office #19: 27476 Detroit Road, Westlake, OH 44145Office #20: 10100 W Charleston Avenue Suite 214, Las Vegas, NV 89135Office #21: 305 Madison Avenue, Morristown, NJ 07960Office #22: 775 Ridge Lake Blvd. Suite 200, Memphis, TN 38120Office #23: 677 Washington Blvd. 9th Floor, Stamford, CT 06901Office #24: 1021 East Cary Street Suites 1925 & 1975, Richmond, VA 23219Office #25: 800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209Office #26: 501 N. Broadway, St. Louis, MO 63102Office #27: 125 High Street, Boston, MA 02110Office #28: 263 Shuman Blvd. Suite 130, Naperville, IL 60563Office #29: 584 Wald, Irvine, CA 92618Office #30: 909 A Street, Tacoma, WA 98402Office #31: 2321 Whitney Avenue Suite 106, Hamden, CT 06518Office #32: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067Office #33: 50 W Liberty Street Suite 330, Reno, NV 89501Office #34: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #35: 11300 Cantrell Road Suite 101, Little Rock, AR 72212Office #36: 641 Oakleaf Office Lane Suite 2, Memphis, TN 38117Office #37: 2801 East Camelback Road, Phoenix, AZ 85016Office #38: 18 Division Street Suite 209 & 211a, Saratoga Springs, NY 12866Office #39: 100 Motor Parkway 2nd Floor, Hauppauge, NY 11788Office #40: 8245 Tournament Drive Building A - Suite 110, Memphis, TN 38125Office #41: 3102 West End Avenue Suite 700, Nashville, TN 37203Office #42: 639 Loyola Avenue Suite 200, New Orleans, LA 70113Office #43: 805 Las Cimas Parkway Suite 230, Austin, TX 78746Office #44: 39533 Woodward Avenue Suite 210, Bloomfield Hills, MI 48304Office #45: 8182 Maryland Ave. 10th Floor, Clayton, MO 63105Office #46: 6340 Quadrangle Dr. Suite 120, Chapel Hill, NC 27517Office #47: 40 Corporate Woods Building 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS 66210Office #48: 3777 Tamiami Trail North Suite 300, Naples, FL 34103Office #49: 107 Spring Street, Suite 100, Ramsey, NJ 07446Office #50: 3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410Office #51: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326Office #52: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104Office #53: 70 West Madison Street Suite 2500, Chicago, IL 60602Office #54: 25220 Hancock Ave Suite 300, Murrieta, CA 92562Office #55: 2701 Park Marina Drive 2nd Floor, Redding, CA 96001Office #56: One North Wacker Suite 3400, Chicago, IL 60606Office #57: 600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222

RIA

CRD#: 793

Golden Valley, MN

Past

September 11, 2009 - June 5, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

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)

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.

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

Alabama
(6/5/2015)

Alaska
(6/5/2015)

Arizona
(6/5/2015)

Arkansas
(6/5/2015)

California
(6/5/2015)

Colorado
(6/5/2015)

Connecticut
(6/5/2015)

Delaware
(6/5/2015)

District of Columbia
(6/5/2015)

Florida
(6/5/2015)

Georgia
(6/5/2015)

Hawaii
(6/5/2015)

Idaho
(6/5/2015)

Illinois
(6/5/2015)

Indiana
(6/5/2015)

Iowa
(6/5/2015)

Kansas
(6/5/2015)

Kentucky
(6/5/2015)

Louisiana
(6/5/2015)

Maine
(6/5/2015)

Maryland
(6/5/2015)

Massachusetts
(6/5/2015)

Michigan
(6/5/2015)

Minnesota
(6/5/2015)

Mississippi
(6/5/2015)

Missouri
(6/5/2015)

Montana
(6/5/2015)

Nebraska
(6/5/2015)

Nevada
(6/5/2015)

New Hampshire
(6/5/2015)

New Jersey
(6/5/2015)

New Mexico
(6/5/2015)

New York
(6/5/2015)

North Carolina
(6/5/2015)

North Dakota
(6/5/2015)

Ohio
(6/5/2015)

Oklahoma
(6/5/2015)

Oregon
(11/21/2019)

Pennsylvania
(6/5/2015)

Puerto Rico
(6/5/2015)

Rhode Island
(6/5/2015)

South Carolina
(6/5/2015)

South Dakota
(6/5/2015)

Tennessee
(6/5/2015)

Texas
(6/5/2015)

Utah
(6/5/2015)

Vermont
(6/5/2015)

Virgin Islands
(6/5/2015)

Virginia
(6/5/2015)

Washington
(6/5/2015)

West Virginia
(6/5/2015)

Wisconsin
(6/5/2015)

Wyoming
(6/5/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/29/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2010

General Securities Principal Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

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	Cover Page	Report
12/19/2023	Cover Page	Report

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.

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Firm Stability Insights

Brantley T. Mcduffie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brantley Troy Mcduffie's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERNE, AGEE & LEACH, INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/29/2009

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2009

Series 24

Date: 3/29/2010

Cboe BZX Exchange, Inc.

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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