RC
Robert N. Caine
STIFEL, NICOLAUS & COMPANY
Santa Fe, NM 87501
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CRD#: 6529379
RC
Professional summary
Robert Nicholas Edward Caine, CIMA®, who also goes by Robert Nicholas Caine, Robert Caine, Nicholas Caine, Nick Caine, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Santa Fe, New Mexico.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Robert has worked at 9 firms and has passed the Series 66, Series 50, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Nicholas Caine | Robert Caine | Nicholas Caine | Nick Caine
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. Enchanted New Mexico Properties LLC; 1628 Villa Strada Santa Fe NM 87506; Single family rental property; Co-owner; Help manage repairs for tenant and paying our bills; 10/01/2024; 2 hrs/week; Not during securities trading hours; Investment-Related 2. Albuquerque Public Schools Education Foundation; 6400 Uptown Blvd. NE Albuquerque NM 87110; The Foundation partners with the local community to raise funds for the District and provide support for teachers and students; Board member; Attending board meetings and volunteering my time at fundraising events; 01/01/2025; 4 hrs/quarter; During securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Robert Nicholas Edward Caine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Nicholas Edward Caine'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
September 15, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501RIA
BD
CRD#: 793
Santa Fe, NM
Current
September 14, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501RIA
BD
CRD#: 793
Santa Fe, NM
Past
July 12, 2022 - September 7, 2023
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Atlanta, GA
Past
July 12, 2022 - September 7, 2023
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
Atlanta, GA
Past
March 5, 2020 - June 8, 2022
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
March 4, 2020 - June 8, 2022
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
ATLANTA, GA
Past
June 6, 2018 - February 19, 2020
THORNBURG INVESTMENT MANAGEMENT INC
RIA
CRD#: 106357
SANTA FE, NM
Past
May 8, 2018 - February 19, 2020
THORNBURG SECURITIES LLC
BD
CRD#: 14857
SANTA FE, NM
Past
December 22, 2015 - April 24, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
September 18, 2015 - October 16, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
August 5, 2015 - October 16, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(9/14/2023)
RR
New Mexico(9/14/2023)
IAR
New Mexico(9/15/2023)
RR
North Carolina(6/30/2025)
RR
Texas(7/8/2025)
IAR
Texas(7/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/23/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
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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
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Santa Fe, NM 87501TRUST BUT VERIFY
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