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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 2015-01-07
WI RA APPROVED 2002-08-30
  • TX RA
    APPROVED_RES
    Since 2015-01-07
  • WI RA
    APPROVED
    Since 2002-08-30

Branch Locations

Portage, WI • United States

2501 W Beltline Highway Suite 401, Madison, WI 53713 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Madison WI 01/2005 Present
  • 01/2005 → Present
    Stifel Nicolaus & Co Inc
    Madison, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-02
S63 Uniform Securities Agent State Law Examination 1988-02-22
  • S65 Uniform Investment Adviser Law Examination
    1993-12-02
  • S63 Uniform Securities Agent State Law Examination
    1988-02-22
Designations

View on SEC IAPD

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