Cecile R Komplita
Investment Adviser Representative at Stifel, Nicolaus & Company, Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Cecile R. Komplita is an investment adviser representative with Stifel, Nicolaus & Company, Incorporated in New York, NY, where they have been registered since 2022. They have worked in the securities industry since 1993 and have been registered with 3 firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Janney Montgomery Scott LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New York and Texas.
Office
Advisors at this office: 124
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York, Texas
- Broker:
11 states and territories
Florida, Georgia, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, Washington, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Jpmorgan Chase BANKApr 2015 – Jun 2017New York, NY
- JP Morgan Securities LLCApr 2015 – Jun 2017New York, NY
- Janney Montgomery Scott LLCJun 2017 – Mar 2018New York, NY
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 2018 – May 2018New York, NY
- BANK OF America, N.A.May 2018 – May 2022New York, NY
- Stifel Nicolaus & Co IncMay 2022 – no end date reportedNew York, NY
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Stifel, Nicolaus & Company, Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,338
- Offices listed on AdvisorFinder:
- 26
- Main office:
- St Louis, MO
- SEC file number:
- 801-10746
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 15, 2026
View full firm profileOther advisors at Stifel, Nicolaus & Company, Incorporated
Showing 12 of 3,338 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Cecile R Komplita has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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