MJ
Margaret W. Johnson
STIFEL, NICOLAUS & COMPANY
Tulsa, OK 74114
Some features on this profile are disabled
CRD#: 722621
MJ
Professional summary
Margaret Wade Johnson, who also goes by Margaret Mary Wade, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Tulsa, Oklahoma.
Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Margaret has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Margaret Mary Wade
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. Junior League of Tulsa; 3633 S Yale Ave Tulsa OK 74135; Community volunteers; Endowment Fund Committee - Chair; Conduct quarterly meetings; 06/01/2000; 8 hrs/quarter; During security trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Wade Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Margaret Wade Johnson'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 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2100 South Utica Avenue Suite 100, Tulsa, OK 74114RIA
BD
CRD#: 793
Tulsa, OK
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2100 South Utica Avenue Suite 100, Tulsa, OK 74114RIA
BD
CRD#: 793
Tulsa, OK
Past
August 27, 2022 - April 7, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Tulsa, OK
Past
December 14, 2012 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
TULSA, OK
Past
December 14, 2012 - April 4, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
TULSA, OK
Past
June 16, 2006 - December 14, 2012
SANDERS MORRIS LLC
RIA
CRD#: 20580
TULSA, OK
Past
February 18, 2004 - December 31, 2006
SMH CAPITAL ADVISORS LLC
RIA
CRD#: 108344
TULSA, OK
Past
December 2, 2003 - December 14, 2012
SANDERS MORRIS LLC
BD
CRD#: 20580
TULSA, OK
Past
October 11, 2000 - December 5, 2003
PIPER SANDLER & CO.
RIA
CRD#: 665
TULSA, OK
Past
September 1, 1999 - December 5, 2003
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
March 2, 1998 - September 22, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
March 20, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
July 9, 1986 - March 23, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
January 19, 1981 - July 14, 1986
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(4/4/2025)
RR
Arizona(4/4/2025)
RR
Arkansas(4/4/2025)
RR
California(4/4/2025)
RR
Colorado(4/4/2025)
RR
Florida(4/4/2025)
RR
Illinois(4/4/2025)
RR
Kansas(4/4/2025)
RR
Louisiana(4/4/2025)
RR
Maryland(4/4/2025)
RR
Mississippi(4/4/2025)
RR
Missouri(4/4/2025)
RR
Nebraska(4/4/2025)
RR
North Carolina(4/4/2025)
RR
Ohio(4/4/2025)
RR
Oklahoma(4/4/2025)
IAR
Oklahoma(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/4/2025)
RR
Virginia(4/4/2025)
RR
Washington(4/4/2025)
RR
Wisconsin(4/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/5/1988
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 793Tulsa, OK 74114TRUST BUT VERIFY
Monitor Margaret Johnson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
