Charles R. Cross

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CRD#: 57630

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles Richard Cross, who also goes by Dick Cross, Dick Gross, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 16, Series 5, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dick Cross | Dick Gross

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 7, 2015 - April 20, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

FORT SMITH, AR

Past

July 7, 2015 - April 20, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

FORT SMITH, AR

Past

January 4, 2007 - July 7, 2015

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

April 11, 2005 - January 3, 2007

STERNE, AGEE & LEACH, INC.

RIA

CRD#: 791

FORT SMITH, AR

Past

April 8, 2005 - July 7, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

FORT SMITH, AR

Past

August 23, 2004 - November 11, 2004

PLAN SPONSOR ADVISORS LLC

RIA

CRD#: 123602

CHICAGO, IL

Past

October 16, 2003 - October 18, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 6, 1996 - May 1, 2001

SANCTUARY SECURITIES, INC.

CRD#: 205

MIAMI, FL

Past

July 5, 1995 - June 28, 1996

LAMBORN SECURITIES INCORPORATED

CRD#: 17489

NEW YORK, NY

Past

August 2, 1993 - March 14, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 13, 1988 - September 1, 1992

BARRINGTON TRADING COMPANY

CRD#: 7573

BARRINGTON, IL

Past

May 28, 1987 - January 13, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

October 4, 1982 - January 25, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 31, 1978 - December 9, 1981

COLEMAN & COMPANY SECURITIES, INC.

CRD#: 1486

Past

May 17, 1977 - July 19, 1978

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

August 27, 1976 - April 30, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

March 24, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

November 2, 1970 - April 15, 1976

G A SAXTON & CO INC

CRD#: 1000002

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/19/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/25/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2003

General Securities Representative Examination

General Industry/Product Exam

Series 16

Date: 10/22/1996

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 5

Date: 1/4/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 6/22/1964

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 9/25/1975

Registered Principal Examination

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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Advisor Monitoring

Firm Stability Insights

Charles R. Cross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

STERNE, AGEE & LEACH, INC.

PLAN SPONSOR ADVISORS LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

SANCTUARY SECURITIES, INC.

LAMBORN SECURITIES INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

BARRINGTON TRADING COMPANY

L. F. ROTHSCHILD & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

COLEMAN & COMPANY SECURITIES, INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

G A SAXTON & CO INC

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2004

Series 63

Date: 8/25/1987

SIE

Date: 4/20/2017

Series 7

Date: 10/15/2003

Series 16

Date: 10/22/1996

Series 5

Date: 1/4/1983

Series 1

Date: 6/22/1964

Series 40

Date: 9/25/1975

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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