Unclaimed Profile

Hugo John Iii Warns

STIFEL, NICOLAUS & COMPANY, INCORPORATED·ST LOUIS, Missouri

SIE, Series 7, Series 24, Series 62, Series 63, Series 87CFAClean record1 years registeredSTIFEL, NICOLAUS & COMPANY, INCORPORATED

501 N BROADWAY, ST LOUIS, MO 63102CRD# 2680469Firm CRD# 793

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Hugo John Iii Warns · ST LOUIS, MO

Registration

CRD #2680469 · STIFEL, NICOLAUS & COMPANY, INCORPORATED · 1 years registered

Brand Profile

Not yet started

Career History

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Oct 2024 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 62

Series 63

Series 87

Registration record

First registered · October 9, 2024

Years registered · 1

Professional designation · CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD 793 · SEC 801-10746

AUM

$149.2B

Regulatory assets under management

Employees

6,534

348,524 client accounts

Services offered by STIFEL, NICOLAUS & COMPANY, INCORPORATED

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at STIFEL, NICOLAUS & COMPANY, INCORPORATED →

Introduction

Speak with Hugo John Iii

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Hugo John Iii is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in ST LOUIS?

Browse all registered financial advisors in ST LOUIS, Missouri or claim this profile if it's yours.

Browse ST LOUIS Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Hugo John Iii Warns offer?

Hugo John Iii Warns specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in ST LOUIS, Missouri for a consultation.

What are Hugo John Iii Warns's credentials?

Hugo John Iii Warns holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Hugo John Iii Warns located?

Hugo John Iii Warns is based in ST LOUIS, Missouri, working with STIFEL, NICOLAUS & COMPANY, INCORPORATED. Their office serves clients in the ST LOUIS metropolitan area and surrounding communities.

How does Hugo John Iii Warns charge for services?

Hugo John Iii Warns's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STIFEL, NICOLAUS & COMPANY, INCORPORATED?

STIFEL, NICOLAUS & COMPANY, INCORPORATED has approximately 6534 employees and manages $149.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →