PE
Philip D. Estabrook
STIFEL, NICOLAUS & COMPANY
New London, NH 03257
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CRD#: 812722
PE
Professional summary
Philip Dewitt Estabrook III, who also goes by Philip Dewitt Estabrook, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New London, New Hampshire.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Philip has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 15, PC, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip Dewitt Estabrook
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. Newport Library Arts Center; Main St, Newport, NH, 03773; Library; Board Member; Investment advice; 05/19/2010; 2 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Newport Charitable Fund; Main St, Newport, NH 03773; board of advisors; member; charitable giving advice; 05/19/2010; 5 Hours per Year; Not during securities trading hours; Not Investment-related. 3. PE Enterprises LLC;276 Newport Rd New London NH 03257;Holding Company to purchase Condo Unit; Partner; provide initial funding and collateral;11/12/19; 1 hr/mo; not during securities trading hours; investment related. 4. The Gallery Condominium Owners Association; c/o River Valley Property Maint. - PO Box 66, Windsor, NH 05089; Condo Association for The Gallery building at 276 Newport Rd, New London, NH 03257 - Stifel rents an office in the building; Member -Board of Directors; Vote on improvements and management of office building that I am co-owner of condo units and that Stifel rents office space; 1/1/2024; 2 hrs/qtr; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Philip Dewitt Estabrook III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Dewitt Estabrook III'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
October 9, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 276 Newport Road Suite 104, New London, NH 03257RIA
BD
CRD#: 793
New London, NH
Current
October 9, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 276 Newport Road Suite 104, New London, NH 03257RIA
BD
CRD#: 793
New London, NH
Past
January 1, 2008 - October 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW LONDON, NH
Past
January 1, 2008 - October 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW LONDON, NH
Past
January 28, 1998 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
NEW LONDON, NH
Past
January 26, 1989 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
NEW LONDON, NH
Past
February 2, 1987 - January 31, 1989
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
August 9, 1982 - February 10, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Past
July 29, 1981 - August 20, 1982
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
Past
August 18, 1978 - July 18, 1981
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
September 16, 1977 - September 18, 1978
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
BD
CRD#: 7058
Past
September 25, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
BD
CRD#: 66
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(2/12/2018)
RR
Arizona(10/9/2008)
RR
Arkansas(6/20/2014)
RR
California(10/9/2008)
RR
Colorado(11/18/2013)
RR
Connecticut(10/9/2008)
RR
District of Columbia(1/7/2014)
RR
Florida(10/9/2008)
RR
Georgia(10/9/2008)
RR
Hawaii(1/7/2022)
IAR
Hawaii(1/10/2022)
RR
Idaho(10/9/2008)
RR
Indiana(3/9/2012)
RR
Maine(10/9/2008)
RR
Maryland(10/14/2008)
RR
Massachusetts(10/9/2008)
RR
Michigan(10/9/2008)
RR
Minnesota(11/19/2018)
RR
Mississippi(12/11/2014)
RR
Missouri(9/26/2011)
RR
Montana(1/3/2012)
RR
Nevada(2/23/2018)
RR
New Hampshire(10/9/2008)
IAR
New Hampshire(10/9/2008)
RR
New Jersey(7/26/2017)
RR
New York(10/9/2008)
RR
North Carolina(8/25/2010)
RR
Ohio(10/9/2008)
RR
Oregon(9/2/2010)
RR
Pennsylvania(5/20/2021)
RR
Rhode Island(11/8/2021)
RR
South Carolina(11/26/2019)
RR
Tennessee(2/3/2016)
RR
Texas(4/13/2009)
IAR
Texas(6/27/2018)
RR
Utah(2/25/2022)
RR
Vermont(10/9/2008)
RR
Virginia(3/24/2016)
RR
Washington(10/9/2008)
RR
Wisconsin(10/17/2023)
RR
Wyoming(10/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/29/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/9/1982
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/1/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
