AR
Andrew W. Rifkin
STIFEL, NICOLAUS & COMPANY
BOCA RATON, FL
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CRD#: 867753
AR
Professional summary
Andrew Warren Rifkin is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Boca Raton, Florida.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Andrew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 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. FAE HOLDINGS 383593R; 1 BAY CLUB DR APT 17H BAYSIDE NY 11360; REAL ESTATE HOLDING; MEMBER; SOLE MEMBER ALL DUTIES AND RESONSIBILITIES; 01/05/2018; 10.00 Hour(s) Per Month; NOT DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED 2. AWR OWNERS LLC; 1 BAY CLUB DR APT 17H BAYSIDE NY 11360; REAL ESTATE HOLDINGS; MEMBER; REAL ESTATE MANAGEMENT;01/11/2018; 10.00 Hour(s) Per Month; not during securities trading hours; Investment-Related. 3. The Bay Club; 2 Bay Club Dr, Bayside, NY 11360; Residential Condo; member of board of managers; Member; 05/23/2020; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-related. 4. AWR FLP LLC; 1 Bay Club Dr, Bayside, NY 11360; Estate Planning; Member & Manager; 06/01/2022; 1 Hour per Day; During Securities Trading Hours; Investment Related. 5. Andrew Rifkin Profit Sharing Plan; 1 Bay Club Dr, Apt 17H, Bayside, NY 11360; Money Management; Self Directed; 5/19/1980; 0 hr/day; During Securities Trading Hours; Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Warren Rifkin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Warren Rifkin'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
May 26, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
BOCA RATON, FL
Current
July 10, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
BOCA RATON, FL
Past
April 29, 2002 - July 10, 2007
RYAN BECK & CO.
BD
CRD#: 3248
UNIONDALE, NY
Past
April 2, 2001 - May 13, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
April 9, 1979 - April 27, 2001
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
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(7/10/2007)
RR
Connecticut(8/6/2020)
RR
Florida(7/10/2007)
IAR
Florida(5/2/2022)
RR
Georgia(5/6/2008)
RR
Indiana(2/7/2025)
RR
Maryland(7/10/2007)
RR
New Jersey(7/10/2007)
RR
New York(7/10/2007)
IAR
New York(5/26/2021)
RR
North Carolina(5/6/2008)
RR
Pennsylvania(4/20/2023)
RR
South Carolina(5/14/2021)
RR
Texas(7/10/2007)
RR
Virginia(4/1/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
