JT
Jacob Tague
STIFEL, NICOLAUS & COMPANY
Santa Fe, NM 87501
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CRD#: 7110414
JT
Professional summary
Jacob Tague is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Santa Fe, New Mexico.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Jacob has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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. SCORE Business Mentors, Northern NM Chapter, 3900 Paseo del Sol, Santa Fe, NM 87501; Free business mentoring for small businesses; Onboarding Committee; Meeting with and interviewing prospective volunteers to find a fit in the organization; 07/10/2019; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Ducks Unlimited, Santa Fe Chapter; One Waterfowl Way, Memphis, TN 38120; Wetland conservation; Chairman of Santa Fe, NM Chapter; Organizing recruitment and fundraising events; 08/22/2019; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 3. SCORE Santa Fe & Northern NM; 3900 Paseo del Sol Suite A320, Santa Fe, NM 87507; Free business mentoring; Interim Treasurer; Monthly expense reporting, submitting invoices for approval; 01/22/2024; 3 Hours per Month; Not during securities trading hours; Not Investment-Related 4. The Mountain Center; PO Box 449 Tesuque NM 87574; Health and wellness promotion; Finance Committee; Attend meetings and ask questions as they relate to the orgs finances and budget; 09/03/2024; 3 hours per quarter; Not during securities trading hours; Not Investment-Related 5. The Mountain Center; PO Box 449 Tesuque NM 87574; Health and wellness promotion; Board of Directors; Attend meetings and provide input on policy discussion; 09/03/2024; 3 hours per quarter; Not during securities trading hours; Not Investment-Related 6. Santa Fe Hispanic Chamber of Commerce; Santa Fe NM 87501; Community development; Volunteer 40 Under 40 Committee; Organization of award ceremony; 02/03/2025; 3 hrs/week; During Security Trading Hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Tague's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob Tague'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
July 15, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501RIA
BD
CRD#: 793
Santa Fe, NM
Current
July 14, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501RIA
BD
CRD#: 793
Santa Fe, NM
Past
August 7, 2019 - May 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SANTA FE, NM
Past
July 3, 2019 - May 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SANTA FE, NM
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(10/2/2024)
RR
Alaska(10/3/2024)
RR
Arizona(12/5/2024)
RR
California(11/29/2023)
RR
Colorado(9/30/2021)
RR
Delaware(10/4/2024)
RR
Florida(10/3/2024)
RR
Georgia(10/3/2024)
RR
Idaho(9/5/2023)
RR
Illinois(12/11/2024)
RR
Indiana(10/2/2024)
RR
Iowa(10/4/2024)
RR
Kentucky(10/15/2024)
RR
Louisiana(9/5/2023)
RR
Maine(10/3/2024)
RR
Maryland(8/24/2023)
RR
Minnesota(3/13/2025)
RR
Missouri(10/3/2024)
RR
Nevada(12/9/2021)
IAR
New Mexico(7/15/2021)
RR
New Mexico(7/16/2021)
RR
New York(7/24/2021)
RR
North Carolina(8/4/2023)
RR
Ohio(1/16/2024)
RR
Oregon(2/21/2024)
RR
Pennsylvania(10/3/2024)
RR
South Carolina(10/3/2024)
RR
Texas(2/27/2023)
IAR
Texas(2/27/2023)
RR
Virginia(10/3/2024)
RR
Washington(10/3/2024)
RR
West Virginia(10/8/2024)
RR
Wisconsin(10/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2019
General Securities Representative ExaminationGeneral 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.
