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Charles Raymond

Co-Head Global Institutional Equities & Advisory at Stifel, Nicolaus & Company

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Charles Raymond is Co-Head Global Institutional Equities & Advisory of Stifel, Nicolaus & Company, Incorporated, a ST Louis investment adviser managing $198B. Charles Raymond has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Stifel, Nicolaus & Company

Title on Schedule A
Co-Head Global Institutional Equities & Advisory
Control
Charles Raymond is not a control person of Stifel, Nicolaus & Company.
Ownership
An individual ownership band is not available in the source record.
Tenure
Charles Raymond has held the filed role since July 2025.

The firm

Stifel, Nicolaus & Company, Incorporated
ST Louis, MO

Form ADV filed 15 September 2026

$198B AUM236,191 clients3,079 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2012
  4. Passed Series 63 · 2007
  5. Passed Series 7 · 1996

Registrations and exams

Broker registration; no current adviser registration. Charles Raymond has passed 5 qualifying exams.

Examinations

Series 632 April 2007
Name
Uniform Securities Agent State Law Examination
Series 2427 August 2012
Name
General Securities Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 727 September 1996
Name
General Securities Representative Examination

Individual record

Full name
Charles Bradford Green Raymond
CRD
2796106
Firm
Stifel, Nicolaus & Company, Incorporated
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Charles Raymond work?

Charles Raymond has been Co-Head Global Institutional Equities & Advisory of Stifel, Nicolaus & Company, Incorporated since July 2025.

Source: Form ADV, Schedule A, filed 15 September 2026

Does Charles Raymond have a current investment-adviser registration?

Charles Raymond has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Charles Raymond passed?

Charles Raymond has passed 5 licensing exams: the Series 7, Series 63, Series 24, SIE and Series 79TO. The earliest, the Series 7, was passed in September 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at Stifel, Nicolaus & Company

Sources

  1. IAPD individual record, CRD 2796106. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Stifel, Nicolaus & Company, Incorporated, filed 15 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Charles Raymond or Stifel, Nicolaus & Company, Incorporated and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.