BM
Breanna L. Mccallum
STIFEL, NICOLAUS & COMPANY
Glenwood Springs, CO 81601
Some features on this profile are disabled
CRD#: 6564981
BM
Professional summary
Breanna L Mccallum, CFP®, who also goes by Breanna Lee Richardson, Breanna Richardson, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Glenwood Springs, Colorado.
Breanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Breanna has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Breanna Lee Richardson | Breanna Richardson
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. MNS Group LLC; 2520 South Grand Ave #210 Glenwood Springs CO 81601; to hold and manage certain commercial real property within the building 2520 South Grand Ave, Glenwood Springs, CO; Owner; affiliation started 04/01/2016; 10.0 hours per year; not during securities trading hours; not investment-related. 2. The Glenwood Springs Chamber Resort Association; 802 Grand Ave, Glenwood Springs, CO 81601; Business Chamber; Board Member; Attend one monthly meeting, vote on agenda items, attend business events; 02/12/2020; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 3. Delsas Ranch LLC; 3173 134 CR, Glenwood Springs, CO 81601; Leasing land for livestock grazing, leasing trailer for use, and leasing horses; Member/manager; Attend annual meeting; 02/01/2021; 10 Hours per Year; Not During Securities Trading Hours; Investment-Related. 4. Our School Nursery and Preschool; 3126 Grand Ave Glenwood Springs CO 81601; childcare; Parent Advisory Group; giving feedback to the board and staff on care at the preschool; 07/15/2024; 1.00hr/month; Not During Securities Trading Hours; Not Investment-Related. 5. Garfield County Library Foundation; 207 east ave rifle CO 81650; supports library district; board member; approve and deny scholarships to the library district; 10/30/2024; 4.00hrs/year; Not During Securities Trading Hours; Not Investment-Related. 6. Glenwood Springs Chamber Resort Association Board; 802 Grand Ave Glenwood Springs CO 81601; chamber- business representation, education resources for businesses; Board Chair; monthly board meetings, review financials, review and approve chamber initiatives; 01/27/2025; 2 hrs/month; not during security trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Breanna L Mccallum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Breanna L Mccallum'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®
CFP®
Start date: 2018
Experience
Current
January 25, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2520 S. Grand Ave. Suite 210, Glenwood Springs, CO 81601RIA
BD
CRD#: 793
Glenwood Springs, CO
Current
November 24, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2520 S. Grand Ave. Suite 210, Glenwood Springs, CO 81601RIA
BD
CRD#: 793
Glenwood Springs, CO
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
Alabama(8/21/2025)
RR
Alaska(3/9/2016)
RR
Arizona(3/9/2016)
RR
Arkansas(11/20/2018)
RR
California(3/9/2016)
RR
Colorado(1/25/2016)
IAR
Colorado(1/25/2016)
RR
Delaware(10/31/2025)
RR
Florida(3/9/2016)
RR
Georgia(7/16/2020)
RR
Hawaii(3/9/2016)
RR
Idaho(3/9/2016)
RR
Illinois(3/9/2016)
RR
Indiana(1/18/2017)
RR
Kansas(3/9/2016)
RR
Louisiana(3/31/2016)
RR
Maine(5/20/2020)
RR
Massachusetts(2/9/2023)
RR
Michigan(3/9/2016)
RR
Minnesota(3/9/2016)
RR
Mississippi(3/9/2016)
RR
Missouri(3/9/2016)
RR
Montana(3/9/2016)
RR
Nebraska(11/11/2016)
RR
Nevada(3/9/2016)
RR
New Jersey(8/8/2016)
RR
New Mexico(3/9/2016)
RR
New York(3/9/2016)
RR
North Carolina(3/10/2016)
RR
Ohio(3/9/2016)
RR
Oklahoma(3/9/2016)
RR
Oregon(3/9/2016)
RR
Pennsylvania(3/9/2016)
RR
South Carolina(3/9/2016)
RR
South Dakota(10/21/2019)
RR
Tennessee(7/16/2025)
RR
Texas(3/9/2016)
IAR
Texas(5/4/2018)
RR
Utah(3/9/2016)
RR
Virginia(3/9/2016)
RR
Washington(3/9/2016)
RR
Wisconsin(1/3/2020)
RR
Wyoming(3/9/2016)
Exams
State Security Law Exam
General 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.
