Derek Carmichael
Professional Summary
Derek Carmichael is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Canton, Ohio. Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Derek has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Disclosures on record.
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.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Years of Experience
2 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Current Firm
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
Contact Information
Main Address
501 North Broadway, St Louis, MO 63102Mailing Address
501 North Broadway, St. Louis, MO 63102Phone Number
(314) 342-2000Established
Missouri since 02/20/1900Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
6,478SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US 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 |
| JANSEN, ANGELA MARIE | PRINCIPAL OPERATIONS OFFICER | 3190211 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| 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
394,160AUM (Assets Under Management)
$197,532,233,502Disclosures
Regulatory Event
192Civil Event
2Arbitration
61Bond
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2026 | Cover Page | Report |
| 03/30/2026 | Cover Page | Report |
| 12/18/2024 | Cover Page | Report |
| 12/19/2023 | Cover Page | Report |
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
Primary Firm SEC Registration
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
State Registrations and Notice Filings
(3/5/2026)
(9/24/2025)
(4/28/2025)
(3/4/2025)
(1/27/2026)
(1/14/2026)
(4/11/2025)
(1/29/2025)
(1/29/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Derek Carmichael's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Derek Carmichael's CRS (Customer Relationship Summary).
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
ALLSTATE FINANCIAL SERVICES, LLC
NYLIFE DISTRIBUTORS LLC
EAGLE STRATEGIES LLC