Paula C. Browncaplice
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paula C Browncaplice, who also goes by Paula C Brown, Paula Brown, Paula Brown Caplice, Paula C Caplice, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1976. Paula had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2011 - July 10, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 10, 1999 - November 2, 2011
STONE & YOUNGBERG LLC
January 19, 1999 - February 10, 1999
STONE & YOUNGBERG LLC
July 8, 1995 - February 11, 1999
PIPER SANDLER & CO.
December 24, 1992 - July 12, 1995
SMITH MITCHELL INVESTMENT GROUP INC.
August 27, 1991 - October 28, 1992
GRUNTAL & CO., L.L.C.
March 22, 1988 - October 24, 1990
MORGAN STANLEY DW INC.
March 7, 1987 - January 1, 1988
MORGAN STANLEY & CO. LLC
December 18, 1980 - March 6, 1987
PRUDENTIAL EQUITY GROUP, LLC
November 17, 1978 - November 1, 1980
THE CHICAGO CORPORATION
January 6, 1977 - November 4, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
November 24, 1976 - April 7, 1977
BIRR, WILSON & CO., INC.
September 1, 1976 - January 6, 1977
WILLIAM D. WITTER, INC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
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.
