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Brian Douglas Talgo

Stifel, Nicolaus & Company, Incorporated

Carlsbad, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-13
CA RA APPROVED 2011-11-01
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • CA RA
    APPROVED
    Since 2011-11-01

Branch Locations

5780 Fleet Street, Suite 250, Carlsbad, CA 92008 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc San Diego CA 11/2011 Present
  • 11/2011 → Present
    Stifel Nicolaus & Co Inc
    San Diego, CA
Previous Registrations
  • 2004-01-20 → 2011-11-03
    Stone & Youngberg Llc
    San Diego, CA
    San Diego, CA
  • 2003-07-01 → 2003-10-21
    Wells Fargo Clearing Services, Llc
    La Jolla, CA
  • 1993-07-23 → 2003-07-01
    Prudential Equity Group, Llc
    La Jolla, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-17
S63 Uniform Securities Agent State Law Examination 1988-01-20
  • S65 Uniform Investment Adviser Law Examination
    1992-07-17
  • S63 Uniform Securities Agent State Law Examination
    1988-01-20

View on SEC IAPD

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Other Offices

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CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
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