Career
Paul Ayd has been Chief Compliance Officer - Capital Markets of Stifel, Nicolaus & Company since May 2015. Paul Ayd is not listed as a control person, but directly owns under 5% of the firm.
Stifel, Nicolaus & Company, Incorporated is a St Louis, MO firm with $198B under management, 236,191 clients and 3,079 advisers across 518 offices, as of its September 2026 filing.
- – present · 3 yearsLong Beach, CA · Adviser representative · Firm CRD 793
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| California | Approved | 23 February 2023 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 4 June 2014 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 16 June 2011 |
| Series 14 | Compliance Officer Examination | 11 September 2000 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 27 December 1999 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 27 December 1999 |
| Series 55 | Limited Representative-Equity Trader Exam | 14 September 1998 |
| Series 24 | General Securities Principal Examination | 30 June 1998 |
| Series 66 | Uniform Combined State Law Examination | 11 March 1998 |
| Series 7 | General Securities Representative Examination | 11 February 1998 |
- Name
- Securities Trader Exam
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Paul Joseph Ayd
- CRD
- 2963853
- Office
- 5834 E. NAPLES PLAZA, 2nd Floor, Long Beach, CA 90803
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Paul Ayd work?
Paul Ayd has been Chief Compliance Officer - Capital Markets of Stifel, Nicolaus & Company, Incorporated since May 2015.
Is Paul Ayd a financial advisor?
Yes. Paul Ayd has a current investment-adviser registration in California, through Stifel, Nicolaus & Company since February 2023.
How many years of experience does Paul Ayd have?
Paul Ayd has 28 years in the financial industry, since February 1998, across 1 adviser firm.
What exams has Paul Ayd passed?
Paul Ayd has passed 11 licensing exams: the Series 7, Series 66, Series 24, Series 55, Series 10, Series 9, Series 14, Series 87, Series 53, Series 57TO and Series 52TO. The earliest, the Series 7, was passed in February 1998. FINRA credited Paul Ayd with the SIE, which began in October 2018.
Where is Paul Ayd based?
Paul Ayd’s registered office is in Long Beach, CA.
Leadership at Stifel, Nicolaus & Company
Ronald KruszewskiPresident, Chief Executive Office & Chairman of the Board- David SlineySenior Vice President & Director
James ZemlyakExecutive Vice President & Director- Geoffrey BrightChief Compliance Officer - Private Client Group
- Gina HydeChief Compliance Officer - Capital Markets
- Patrick BrooksROSFP - Capital Markets
- Charles DodsonCCO Advisory Services
- Mark Philip FisherGeneral Counsel, Secretary
- Angela JansenPrincipal Operations Officer
- Adam MelingerROSFP - PCG
- Charles RaymondCo-Head Global Institutional Equities & Advisory
- Frederick SchrickPrincipal Financial Officer