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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Malcolm Pettus is a financial advisor with over 23 years of experience in the industry. Paul Malcolm Pettus is currently registered with Stifel, Nicolaus & Company, Inc. in St. Louis, Missouri. Paul Malcolm Pettus has also held previous roles at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC. and IDS LIFE INSURANCE COMPANY. Paul Malcolm Pettus is licensed to provide investment advice in Missouri and North Carolina. Paul Malcolm Pettus holds several industry certifications, including Series 3, 4, 7, 24, 52, 53, 55, 57, and 66.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
01/29/2014 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
NC
07/20/2012 - 01/08/2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NC
10/23/2009 - 07/02/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
04/14/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MN
09/17/1998 - 10/20/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/17/1998 - 10/20/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/26/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/24/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/11/2002
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 06/14/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/16/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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