KB
Kenneth T. Bruno
STIFEL, NICOLAUS & COMPANY
Haledon, NJ
Some features on this profile are disabled
CRD#: 854559
KB
Professional summary
Kenneth Thomas Bruno, who also goes by Ken Thomas Bruno, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Haledon, New Jersey.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Kenneth has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Thomas Bruno
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Thomas Bruno's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Thomas Bruno'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
September 30, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 433 Hackensack Avenue 8th Floor, Hackensack, NJ 07601RIA
BD
CRD#: 793
Haledon, NJ
Current
September 30, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 433 Hackensack Avenue 8th Floor, Hackensack, NJ 07601RIA
BD
CRD#: 793
Hackensack, NJ
Past
February 1, 2008 - October 2, 2014
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
SADDLE BROOK, NJ
Past
January 25, 2008 - October 2, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SADDLE BROOK, NJ
Past
October 30, 2002 - February 1, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PARAMUS, NJ
Past
July 31, 1993 - February 1, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PARAMUS, NJ
Past
October 12, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 4, 1987 - August 9, 1989
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Past
October 4, 1985 - October 20, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
September 3, 1985 - September 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
January 14, 1981 - September 9, 1985
JII SECURITIES INC.
BD
CRD#: 406
Past
June 9, 1980 - February 9, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Past
November 15, 1979 - June 14, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
February 18, 1978 - December 13, 1979
VERRILLI ALTSCHULER SCHWARTZ INC.
BD
CRD#: 7203
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
California(9/30/2014)
RR
Colorado(9/30/2014)
RR
Connecticut(9/30/2014)
RR
District of Columbia(10/17/2018)
RR
Florida(10/20/2014)
RR
Illinois(9/30/2014)
RR
New Hampshire(11/4/2025)
RR
New Jersey(9/30/2014)
IAR
New Jersey(9/30/2014)
RR
New York(9/30/2014)
RR
North Carolina(6/16/2025)
RR
Oklahoma(9/30/2014)
RR
Pennsylvania(9/30/2014)
RR
Virginia(9/30/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
Investors' Exchange LLC
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.
