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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
  • MN RA
    APPROVED
    Since 2013-12-09

Branch Locations

3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • 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. Rochester MN 07/2003 Present
  • 07/2003 → Present
    Stifel Nicolaus & Co., Inc.
    Rochester, MN
Other Businesses

1. Rental Property; Rochester MN 55904; Owner - maintains property; 01/01/1995; 1.0 Hour(s) per Month - not during securities trading hours; Investment Related. 2. Black Angus; Rochester MN 55906; Owner - Cattle company; 05/01/2003; .5 hours per day - not during securities trading hours; Not Investment Related. 3. Farm Land Rental; Rochester, MN 55906; Owner; 09/16/2022; 5 Hours per Month; Not during securities trading hours; Investment-Related. 4. Farm House Rental; Rochester, MN 55906; Owner; 01/02/2023; 10 Hours per Month; Not during securities trading hours; Investment-Related. 5. Timber & Firewood Sales; Rochester, MN 55906; Selling timber to timber buyers and harvesting firewood; Owner/Operator; 09/16/2022; 15 Hours per Month; Not during securities trading hours; Not Investment-Related. 6. Joe Powers Rochester MN Running for Mayor; 3730 Mayowood Rd SW Rochester, MN 55902; Joe Powers is possibly running for Mayor; Volunteer for his Political Campaign seeking to become Mayor; I would envision this to be handing out pamphlets, possibly calling people to let them know that Joe is running and needs their vote, or even giving a presentation about why this city needs someone like Joe to be the Mayor; 03/23/2026; 5hrs/wk; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-02
S63 Uniform Securities Agent State Law Examination 1989-01-05
  • S65 Uniform Investment Adviser Law Examination
    2006-02-02
  • S63 Uniform Securities Agent State Law Examination
    1989-01-05
Designations

View on SEC IAPD

Other Firms

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