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Carol Kelley Harrison

Stifel, Nicolaus & Company, Incorporated

Montgomery, AL

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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 2022-07-18
AL RA APPROVED 2013-10-15
  • TX RA
    APPROVED_RES
    Since 2022-07-18
  • AL RA
    APPROVED
    Since 2013-10-15

Branch Locations

670 South Perry Street Pob 750, Montgomery, AL 36104 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Montgomery AL 09/2013 Present
  • 09/2013 → Present
    Stifel Nicolaus & Co Inc
    Montgomery, AL
Previous Registrations
  • 2005-03-30 → 2013-10-14
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2003-05-15 → 2005-03-24
    Sterne, Agee & Leach, Inc.
    Montgomery, AL
    Montgomery, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-09
S63 Uniform Securities Agent State Law Examination 1999-08-26
  • S65 Uniform Investment Adviser Law Examination
    1999-09-09
  • S63 Uniform Securities Agent State Law Examination
    1999-08-26
Other Names
  • Carol Ann Kelley
  • Carol Ann Kelley
  • Carol Ann Overby
  • Carol Ann Kelley

View on SEC IAPD

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