SD
Scott R. Dolan
STIFEL, NICOLAUS & COMPANY
ST. LOUIS, MO 63102
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CRD#: 7014992
SD
Professional summary
Scott R Dolan is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Louis, Missouri.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Scott has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. The Aberdeen Group LLC;13517 Weston Park Dr St Louis MO 63131;Rental Property;owner;6/1/99;100.00 Hour(s) Per Year; not during securities trading hours; investment related. 2. Saint Louis Central Library Foundation;1301 Olive Street St Louis MO 63103;Public library-The Foundation supports the library; Board Member and Chair, Nominating Committee;7/1/12;12.00 Hour(s) Per Quarter; during securities trading hours; not investment related. 3. Lift for Life Academy;1731 S Broadway Blvd St Louis Mo 63104;Charter School; President of the Board of Trustees; Guide and Lead the school in educating their students;1/1/02;12.00 Hour(s) Per Quarter; during securities trading hours; not investment related. 4. Campbell House Museum; 1508 Locust St St Louis MO 63103;Museum showcasing Victorian era and Westward expansion; Treasurer; financial oversight of NFP; 3/1/12;20 hrs/qtr; not during securities trading hours; not investment related. 5. Warren J Studt Foundation; 10 North Hanley Rd, Saint Louis, MO 63105; Co-Trustee; Oversight of Charitable Foundation; 12/22/2018; 24 hours per year; during securities trading hours; not investment-related. 6. Bulls, Bears, & Hogs LLC; 55 Muirfield Ct; Saint Louis, MO 63141; Private Investment Club; Member of LLC; Social Investment-Club; 01/15/2018; 4 Hours per Month; Not During Securities Trading Hours; Investment-Related. 7. The Score Club of Saint Louis; 39 York Drive, Saint Louis, MO 63144; Private Social and Investment Club/Partnership; Partnership; Member of the Partnership; 07/06/2021; 4 Hours per Month; Not During Securities Trading Hours; Investment-Related. 8. Weston Place Subdivision; 13517 Weston Park Drive, Saint Louis, MO 63131; Neighborhood Association; President; Governing Board of Subdivision; 02/10/2022; 2 Hours per Month; During Securities Trading Hours; Not Investment-Related. 9. Arch on Gore Creek LLC; 13517 Weston Park Drive Saint Louis MO 63131; Real Estate investment in a 2-family in Colorado. Stifel Bank has the mortgage. Stifel Bank has the checking account; Manager and Member of LLC; Oversight of real estate investment; 08/15/2022; 2.00hrs/month; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Scott R Dolan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott R Dolan'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
April 10, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Current
April 10, 2019 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 793
ST. LOUIS, MO
Past
January 23, 2019 - April 30, 2019
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CLAYTON, MO
Past
November 7, 2018 - April 30, 2019
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CLAYTON, MO
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(2/21/2024)
RR
California(4/25/2019)
RR
Colorado(1/8/2021)
RR
Florida(4/25/2019)
RR
Georgia(4/25/2019)
RR
Illinois(4/25/2019)
RR
Kansas(11/3/2023)
RR
Maine(12/6/2024)
RR
Maryland(4/25/2019)
RR
Mississippi(6/5/2023)
RR
Missouri(4/10/2019)
IAR
Missouri(4/10/2019)
RR
Nevada(5/25/2022)
RR
New Hampshire(12/5/2022)
RR
New Jersey(1/28/2020)
RR
New York(4/25/2019)
RR
North Carolina(4/22/2022)
RR
Ohio(10/26/2022)
RR
Oklahoma(11/30/2021)
RR
South Carolina(1/8/2025)
RR
Texas(10/3/2024)
IAR
Texas(10/3/2024)
RR
Vermont(10/6/2025)
RR
Virginia(4/25/2019)
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.
