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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2007-01-24
  • OH RA
    APPROVED
    Since 2007-01-24

Branch Locations

3600 Embassy Parkway Suite 200, Fairlawn, OH 44333 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co., Inc. Akron OH 10/2006 Present
  • 10/2006 → Present
    Stifel Nicolaus & Co., Inc.
    Akron, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-23
S63 Uniform Securities Agent State Law Examination 2001-05-21
  • S65 Uniform Investment Adviser Law Examination
    2007-08-23
  • S63 Uniform Securities Agent State Law Examination
    2001-05-21

View on SEC IAPD

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