STONE & YOUNGBERG LLC
CRD #795 SEC #801-69883 SAN FRANCISCO, CA 415-445-2300
SEC Registered Broker-Dealer Disclosures
Total AUM
$50.3M
Discretionary
$50.3M
Employees
51
Clients
0
Accounts
21
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Jan 6, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BEAMES, RICHARD ALBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, MUNICIPAL SECURITIES GROUP SALES SUPERVISOR | NA | Control |
| BEAMES, RICHARD ALBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, MUNICIPAL SECURITIES GROUP SALES SUPERVISOR | NA | Control |
| BEAMES, RICHARD ALBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, MUNICIPAL SECURITIES GROUP SALES SUPERVISOR | NA | Control |
| BEAMES, RICHARD ALBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, MUNICIPAL SECURITIES GROUP SALES SUPERVISOR | NA | Control |
| BEAMES, RICHARD ALBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, MUNICIPAL SECURITIES GROUP SALES SUPERVISOR | NA | Control |
| BENGALI, SOHAIL | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| BENGALI, SOHAIL | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| BENGALI, SOHAIL | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| BENGALI, SOHAIL | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| BENGALI, SOHAIL | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| CERVANTES, JAMES RICHARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| CERVANTES, JAMES RICHARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| CERVANTES, JAMES RICHARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| CERVANTES, JAMES RICHARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| CERVANTES, JAMES RICHARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| COLVIN, PARKER ANDREW WILLIAM | I | MUNICIPAL SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| COLVIN, PARKER ANDREW WILLIAM | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, HEAD OF MUNICIPAL UNDERWRITING | NA | |
| COLVIN, PARKER ANDREW WILLIAM | I | MUNICIPAL SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| DITURSI, STEPHEN V | I | TAXABLE SECURITIES GROUP SUPERVISOR | NA | Control |
| EVANS, WILLIAM ASHTON III | I | SROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, SROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | PRIVATE CLIENT GROUP SUPERVISOR, SROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, SROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, SROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, SROP | NA | Control |
| FOX, BRIAN DAVID | I | MUNICIPAL SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| FOX, BRIAN DAVID | I | MUNICIPAL SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| FOX, BRIAN DAVID | I | MUNICIPAL SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CFO | NA | Control |
| GAGE, MITCHELL HUGHEY | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC,CFO | NA | Control |
| GAGE, MITCHELL HUGHEY | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC,CFO | NA | Control |
| GAGE, MITCHELL HUGHEY | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC,CFO | NA | Control |
| GAGE, MITCHELL HUGHEY | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC,CFO | NA | Control |
| GAGE, MITCHELL HUGHEY | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC,CFO | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CFO | NA | Control |
| HAMILL, GRANT MILLER | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HAMILL, GRANT MILLER | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HAMILL, GRANT MILLER | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HAMILL, GRANT MILLER | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HAMILL, GRANT MILLER | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HEANEY, STEPHEN EDWARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, PUBLIC FINANCE GROUP SUPERVISOR | NA | Control |
| HEANEY, STEPHEN EDWARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, PUBLIC FINANCE GROUP SUPERVISOR | NA | Control |
| HEANEY, STEPHEN EDWARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, PUBLIC FINANCE GROUP SUPERVISOR | NA | Control |
| HEANEY, STEPHEN EDWARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, PUBLIC FINANCE GROUP SUPERVISOR | NA | Control |
| HEANEY, STEPHEN EDWARD | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC, PUBLIC FINANCE GROUP SUPERVISOR | NA | Control |
| HSU, DAVID CHENG-WEI | I | CHIEF COMPLIANCE OFFICER | NA | |
| HSU, DAVID CHENG-WEI | I | CHIEF COMPLIANCE OFFICER | NA | |
| HSU, DAVID CHENG-WEI | I | CHIEF COMPLIANCE OFFICER | NA | |
| HUCK, LEONARD WILLIAM JR | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HUCK, LEONARD WILLIAM JR | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HUCK, LEONARD WILLIAM JR | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HUCK, LEONARD WILLIAM JR | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| HUCK, LEONARD WILLIAM JR | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| KERNS, BRUCE WILLIAM | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| KERNS, BRUCE WILLIAM | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| KERNS, BRUCE WILLIAM | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| KERNS, BRUCE WILLIAM | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| KERNS, BRUCE WILLIAM | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| LAWWILL, JOSEPH CHARLES | I | TAXABLE SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| LAWWILL, JOSEPH CHARLES | I | EQUITY TRADE DESK SUPERVISOR | NA | Control |
| LAWWILL, JOSEPH CHARLES | I | TAXABLE SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| LAWWILL, JOSEPH CHARLES | I | TAXABLE SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| LAWWILL, JOSEPH CHARLES | I | TAXABLE SECURITIES GROUP TRADING SUPERVISOR | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MEMBER BOARD OF DIRECTORS S &Y HOLDINGS LLC | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MEMBER BOARD OF DIRECTORS S &Y HOLDINGS LLC | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MEMBER BOARD OF DIRECTORS S &Y HOLDINGS LLC | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MEMBER BOARD OF DIRECTORS S &Y HOLDINGS LLC | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MEMBER BOARD OF DIRECTORS S &Y HOLDINGS LLC | NA | Control |
| SAIN, GREGORY ROBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SAIN, GREGORY ROBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SAIN, GREGORY ROBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SAIN, GREGORY ROBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SAIN, GREGORY ROBERT | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SOLLERS, SCOTT CREGAN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SOLLERS, SCOTT CREGAN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SOLLERS, SCOTT CREGAN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SOLLERS, SCOTT CREGAN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| SOLLERS, SCOTT CREGAN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| TURNER, JACK JARRATT | I | TAXABLE SECURITIES GROUP SUPERVISOR | NA | Control |
| TURNER, JACK JARRATT | I | TAXABLE SECURITIES GROUP SUPERVISOR | NA | Control |
| TURNER, JACK JARRATT | I | TAXABLE SECURITIES GROUP SUPERVISOR | NA | Control |
| TURNER, JACK JARRATT | I | TAXABLE SECURITIES GROUP SUPERVISOR | NA | Control |
| VINCENT, DAWN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| VINCENT, DAWN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| VINCENT, DAWN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| VINCENT, DAWN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| VINCENT, DAWN | I | MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT/MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT/MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT/MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT/MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT/MEMBER BOARD OF DIRECTORS S&Y HOLDINGS LLC | NA | Control |
| WILLIAMS, KENNETH EVERETT | I | PRESIDENT | NA | Control |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | NA | Control |
| ZINMAN, ROBERT HAROLD | I | DIRECTOR OF OPERATIONS | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | NA | Control |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | NA | Control |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | NA | Control |
| STIFEL FINANCIAL CORP. | DE | SHAREHOLDER | E | Control |
| STIFEL FINANCIAL CORP. | DE | SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | MANAGER/SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | MANAGING MEMBER/SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | MANAGING MEMBER/SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | MANAGING MEMBER/SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | MANAGING MEMBER/SOLE SHAREHOLDER | E | Control |
Registrations
Federal
IA
Jan 6, 2012 REGISTERED
Notice Filings (8)
AZ CA FL IL MA NV NY TX
Address
ONE FERRY BUILDINGSUITE 275
SAN FRANCISCO, CA 94111
United States
Phone: 415-445-2300