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ROBERT ALAN RUBARTH
ROBERT A RUBARTH
CRD#: 2315888
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 321 EAST 2ND STREET
1ST & 2ND FLOOR
ROCHESTER, MI 48307
Registration History
19952000200520102015202020252 FIRMS1993 - 1994 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2018 (6 years)2 FIRMS2018 - Present (6 years)BAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)1994 - 2009 (15 years)IAAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2007 - 2009 (2 years)
Disclosure(s)
View By:
10/25/2019
Regulatory
Final
10/17/2018
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 11/13/2018

B
Iowa 11/12/2018

B
Arizona 9/2/2021

IA
Michigan 11/9/2018

B
Arkansas 11/12/2018

B
Michigan 11/12/2018

B
California 11/12/2018

B
Missouri 12/18/2018

B
Colorado 9/2/2021

B
New Jersey 10/10/2024

B
Florida 2/7/2019

B
North Carolina 9/7/2022

B
Illinois 11/12/2018

B
Ohio 9/28/2023

B
Indiana 11/12/2018

B
Tennessee 12/6/2018

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
321 EAST 2ND STREET 1ST & 2ND FLOOR, ROCHESTER, MI 48307
Registered with this firm since 11/9/2018

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
321 EAST 2ND STREET 1ST & 2ND FLOOR, ROCHESTER, MI 48307
Registered with this firm since 11/12/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/19/2012 - 11/09/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Clinton Township, MI
B
10/17/2012 - 11/09/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Clinton Township, MI
IA
10/05/2009 - 10/25/2012 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SHELBY TOWNSHIP, MI
B
10/05/2009 - 10/25/2012 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SHELBY TOWNSHIP, MI
IA
06/27/2007 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) SHELBY TOWNSHIP, MI
B
08/01/1994 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) SHELBY TOWNSHIP, MI
B
02/09/1993 - 01/04/1994 EQUICO SECURITIES, INC. (CRD#:6627) NEW YORK, NY
B
02/09/1993 - 01/04/1994 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.