Niva WealthLet’s talk

Patrick Brooks

ROSFP - Capital Markets at Stifel, Nicolaus & Company

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

0
Past adviser firms
11
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Patrick Brooks holds the title ROSFP - Capital Markets at Stifel, Nicolaus & Company, Incorporated, a ST Louis investment adviser managing $198B. Patrick Brooks has a current broker registration and no current investment-adviser registration and has passed 11 licensing exams.

Role at Stifel, Nicolaus & Company

Title on Schedule A
ROSFP - Capital Markets
Control
Patrick Brooks is not a control person of Stifel, Nicolaus & Company.
Ownership
An individual ownership band is not available in the source record.
Tenure
Patrick Brooks has held the filed role since May 2009.

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 52TO · 2025
  2. Passed Series 57TO · 2023
  3. Passed SIE · 2018
  4. Passed Series 9 and Series 10 · 2011
  5. Passed Series 4 · 2009
  6. Passed Series 3 and Series 53 · 2008
  7. Passed Series 24 · 2007
  8. Passed Series 7 and Series 55 · 2005

Registrations and exams

Broker registration; no current adviser registration. Patrick Brooks has passed 11 qualifying exams.

Examinations

Series 1014 October 2011
Name
General Securities Sales Supervisor - General Module Examination
Series 917 March 2011
Name
General Securities Sales Supervisor - Options Module Examination
Series 46 February 2009
Name
Registered Options Principal Examination
Series 5331 October 2008
Name
Municipal Securities Principal Examination
Series 242 April 2007
Name
General Securities Principal Examination
Series 52TO31 March 2025
Name
Municipal Securities Representative Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 329 August 2008
Name
National Commodity Futures Examination
Series 5518 March 2005
Name
Limited Representative-Equity Trader Exam
Series 710 March 2005
Name
General Securities Representative Examination

Individual record

Full name
Patrick Rodgers Brooks
CRD
2223412
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 Patrick Brooks work?

Patrick Brooks has held the title ROSFP - Capital Markets at Stifel, Nicolaus & Company, Incorporated since May 2009.

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

Does Patrick Brooks have a current investment-adviser registration?

Patrick Brooks 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 Patrick Brooks passed?

Patrick Brooks has passed 11 licensing exams: the Series 7, Series 55, Series 24, Series 3, Series 53, Series 4, Series 9, Series 10, SIE, Series 57TO and Series 52TO. The earliest, the Series 7, was passed in March 2005.

Source: IAPD individual record, checked 17 October 2026

Leadership at Stifel, Nicolaus & Company

Sources

  1. IAPD individual record, CRD 2223412. 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 Patrick Brooks 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.