Matthew T. Schroeder
STIFEL INDEPENDENT ADVISORS
Mascoutah, IL 62258
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CRD#: 6340273
Professional summary
Matthew Thompson Schroeder, who also goes by Matthew T Schroeder, Matthew Schroeder, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Mascoutah, Illinois.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew T Schroeder | Matthew Schroeder
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. Holy Childhood School; 215 N John St, Mascoutah, IL 62258; Parochial School; School Board Member; Help the school success in the future; 07/01/2022; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Mascoutah Chamber of Commerce; 200 E Main St Mascoutah IL 62258; To facilitate business growth in the city of Mascoutah and surrounding area; Board Member; I will help the chamber with volunteer activities such as spring festival, Christmas parade, and welcome new and existing members to the club; 01/30/2024; 3.00hrs/month; During Securities Trading Hours; Not Investment-Related. 3. Mascoutah Chamber of Commerce; 200 E Main St Mascoutah IL 62258; To help facilitate business growth and showcase businesses in the Mascoutah area; Scholarship Committee; Students apply for a scholarships with the chamber and as a committee we interview them and look over their applications to find out who would receive one; 04/03/2023; 6.00hrs/year; During Securities Trading Hours; Not Investment-Related. 4. Mascoutah Chamber of Commerce; 200 E Main St Mascoutah IL 62258; Event Planning Committee. To help promote and showcase businesses in the Mascoutah area; To help volunteer with events; to help with volunteering in setup and take down of events in the community such as chili cookoff, santa parade and springfest; 04/04/2023; 10.00hrs/year; During Securities Trading Hours; Not Investment-Related. 5. City of Mascoutah; 3 W Main St Mascoutah, IL 62258; City Government; Economic Business Commission; Serve as part of an advisory committee; 04/28/2025; 4 hrs/qtr; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Thompson Schroeder's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Thompson Schroeder'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®
NoneExperience
Current
March 21, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 121 W Main Street, Mascoutah, IL 62258RIA
BD
CRD#: 28218
Mascoutah, IL
Current
March 21, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 121 W Main Street, Mascoutah, IL 62258RIA
BD
CRD#: 28218
Mascoutah, IL
Past
May 4, 2018 - March 17, 2023
EDWARD JONES
RIA
CRD#: 250
MASCOUTAH, IL
Past
May 4, 2018 - March 17, 2023
EDWARD JONES
BD
CRD#: 250
MASCOUTAH, IL
Past
October 16, 2014 - May 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SWANSEA, IL
Past
September 8, 2014 - May 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SWANSEA, IL
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)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
California(3/21/2023)
RR
Colorado(3/21/2023)
RR
Connecticut(3/11/2024)
RR
Florida(7/1/2025)
RR
Illinois(3/21/2023)
IAR
Illinois(3/21/2023)
RR
Missouri(3/21/2023)
RR
North Carolina(3/21/2023)
RR
Tennessee(8/26/2024)
RR
Texas(6/29/2023)
IAR
Texas(6/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
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.
