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Peter Joseph Borrello

Stifel, Nicolaus & Company, Incorporated

Enfield, CT

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-06-21
TX RA APPROVED_RES 2019-11-14
  • CT RA
    APPROVED
    Since 2022-06-21
  • TX RA
    APPROVED_RES
    Since 2019-11-14

Branch Locations

1699 King Street Suite 401, Enfield, CT 06082 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Springfield MA 08/1988 11/2019
Stifel Nicolaus & Co Inc Longmeadow MA 11/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-09
S63 Uniform Securities Agent State Law Examination 1988-07-15
  • S65 Uniform Investment Adviser Law Examination
    1997-12-09
  • S63 Uniform Securities Agent State Law Examination
    1988-07-15

View on SEC IAPD

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