Randall K. Minas
STIFEL, NICOLAUS & COMPANY
Crown Point, IN 46307
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CRD#: 821449
Professional summary
Randall Kent Minas, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Crown Point, Indiana.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Randall has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 9, Series 10, Series 24 and Series 4 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. FKAT PROPERTIES LLC; P.O. BOX 191, CULVER, IN 46511; REAL ESTATE; MEMBER; LIMITED; AFFILIATION STARTED 09/01/2007; 3.0 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED. 2. MINAS FOUNDATION ; PO BOX 191, CULVER, IN 46511; CHARITY ; NOT FOR PROFIT FOUNDATION; PRESIDENT; MINIMAL DISTRIBUTION OF FUNDS; AFFILIATION STARTED 03/01/2002; 1.0 HOUR PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 3. PINEAPPLE VENTURES; P.O. BOX 191 CULVER, IN 46511; REAL ESTATE; MANAGING MEMBER; LIMITED; affiliation started 10/01/2004; 1.0 hour per year; not during securities trading hours; investment-related. 4. SANIM MANAGEMENT LLC; P.O. BOX 191, CULVER, IN 46511; Management of all LLC; Member; Oversight; affiliation started 07/01/2003; 4.0 hours per month; not during securities trading hours; not investment-related. 5. SANIM PROPERTIES LLC; P.O. BOX 191 CULVER, IN 46511; Real Estate; Member; Oversight of property; affiliation started 07/01/2003; 4.0 hours per month; not during securities trading hours; investment-related. 6. American Heart Association; PO BOX 191 Culver IN 46511; fund raising; heart of gold board member/ gala; committee member; affiliation started 10/01/2014; 1.0 hour per month; not during securities trading hours; not investment-related. 7. Indiana State University Board of Trustees; 200 N 7th St Terre Haute IN 47809; university; board member; governance; affiliation started 07/01/2008; 8.0 hours per month; during securities trading hours; not investment-related. 8. Indiana State University board of trustees/finance committee; 200 N 7th St Terre Haute IN 47809; review budgets and bond issues, sub committee of the board; board member; oversight; affiliation started 07/01/2008; 8.0 hours per month; during securities trading hours; not investment-related. 9. Indiana State University Foundation Board; 30 North Fifth St Terre Haute IN 47809; fund raising and alumni affairs; board member for oversight; board meetings 4-6 times a year; affiliation started 07/01/2008; 4.0 hours per month; during securities trading hours; not investment-related. 10. Indiana State University foundation/investment committee; 30 North Fifth St Terre Haute IN 47809; to invest the money of the foundation; committee member; serves as 1 of 9 members that reviews performance; affiliation started 12/01/2013; 4.0 hours per month; during securities trading hours; not investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Randall Kent Minas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Kent Minas'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®
CFP®
Start date: 2006
Experience
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 10550 Broadway, Crown Point, IN 46307RIA
BD
CRD#: 793
Crown Point, IN
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 10550 Broadway, Crown Point, IN 46307RIA
BD
CRD#: 793
Crown Point, IN
Past
May 15, 2009 - February 28, 2017
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
CROWN POINT, IN
Past
May 15, 2009 - February 28, 2017
CITY SECURITIES CORPORATION
BD
CRD#: 1459
CROWN POINT, IN
Past
September 19, 1984 - May 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MERRILLVILLE, IN
Past
June 12, 1979 - May 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MERRILLVILLE, IN
Past
April 23, 1976 - July 4, 1979
ELDON-EMMOR & CO., INC.
BD
CRD#: 1732
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(3/1/2017)
RR
Arizona(2/28/2017)
RR
Arkansas(2/28/2017)
RR
California(2/28/2017)
RR
Colorado(2/28/2017)
RR
Florida(2/28/2017)
IAR
Florida(2/28/2017)
RR
Georgia(2/28/2017)
RR
Hawaii(2/28/2017)
IAR
Hawaii(2/28/2017)
RR
Illinois(2/28/2017)
IAR
Illinois(2/28/2017)
RR
Indiana(2/28/2017)
IAR
Indiana(2/28/2017)
RR
Kansas(3/6/2017)
RR
Kentucky(3/1/2017)
RR
Louisiana(2/28/2017)
RR
Maryland(2/28/2017)
RR
Michigan(2/28/2017)
IAR
Michigan(2/28/2017)
RR
Minnesota(2/28/2017)
RR
Mississippi(2/28/2017)
RR
Montana(2/28/2017)
RR
Nevada(2/28/2017)
IAR
Nevada(2/28/2017)
RR
New York(3/16/2017)
RR
North Carolina(2/28/2017)
RR
Ohio(2/28/2017)
RR
Oklahoma(4/4/2019)
RR
Pennsylvania(2/28/2017)
RR
South Carolina(2/28/2017)
RR
Tennessee(2/28/2017)
RR
Texas(2/28/2017)
IAR
Texas(2/28/2017)
RR
Utah(2/28/2017)
RR
Virginia(3/1/2017)
RR
Wisconsin(2/28/2017)
IAR
Wisconsin(2/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Crown Point, IN 46307TRUST BUT VERIFY
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