Best Investors Account Sign in

Phillip Wayne Gann

Stifel, Nicolaus & Company, Incorporated

Birmingham, AL

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2014-10-27
  • AL RA
    APPROVED
    Since 2014-10-27

Branch Locations

800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209 • 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 Birmingham AL 09/2014 Present
  • 09/2014 → Present
    Stifel Nicolaus & Co Inc
    Birmingham, AL
Previous Registrations
  • 2007-01-03 → 2014-10-13
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2006-06-23 → 2007-01-03
    Sterne, Agee & Leach, Inc.
    Birmingham, AL
  • 1992-07-30 → 2006-06-26
    Morgan Stanley Dw Inc.
    Birmingham, AL
    Birmingham, AL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-03-30
  • S63 Uniform Securities Agent State Law Examination
    1988-03-30

View on SEC IAPD

Other Firms

THRIVENT INVESTMENT MANAGEMENT INC.
PFS INVESTMENTS INC.
PMD ADVISORY
CETERA INVESTMENT ADVISERS LLC
NFSG CORPORATION
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
USA FINANCIAL SECURITIES LLC

Other Investors

THOMAS MICHAEL NOON
Susan Hunter Koski
Luke Banks
David Mathews
MARILYN ANN EDDINGS
JAMES IRA MCCORMICK
MELANIE SHIRLEY DICKINSON
BRENNA ROSE PRITCHETT

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

More in Birmingham, AL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor