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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 2024-04-03
  • TX RA
    APPROVED_RES
    Since 2024-04-03

Branch Locations

433 Hackensack Avenue 8Th Floor, Hackensack, NJ 07601 • 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 & Company, Incorporated Fort Lee NJ 07/2007 Present
Other Businesses

1. Owner/landlord; 8827 Worldquest blvd #1506 Orlando FL 32821; investment property; 04/26/2019; 1.00hr/month; Not during securities trading hours; Investment-Related 2. Owner/landlord; 1114 Bay Club Circle Tampa FL 33607; investment property; 01/05/2010; 1.00hr/month; Not during securities trading hours; Investment-Related 3. Owner/landlord;1308 Bay Club Circle Tampa FL 33607; investment property; 02/19/2009; 1.00hr/month; Not during securities trading hours; Investment-Related 4. owner/landlord; 1216 S Missouri AVE #421 clearwater FL 33756; 12/09/2019; 1.00hr/month; Not during securities trading hours; Investment-Related 5. owner/landlord; 2506 North rocky point Blvd Tampa FL 33607; property rental' 08/01/1995; 1.00/week; Not during securities trading hours; Investment-Related 6. owner/landlord; 4208 Bay Club Circle Tampa FL 33607; investment property; 08/08/2011; 1.00hr/month; Not during securities trading hours; Investment-Related 7. rental property; 3301 Bay Club Circle Tampa FL 10956; property rental; owner of rentals; day to day maintenance; 12/18/2023; 1.00hr/month; Not during securities trading hours; Investment-Related 8. owner/landlord; 3209 Bay Club Circle Tampa FL 33607; investment property; 11/15/2010; 1.00hr/month; Not during securities trading hours; Investment-Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-03-06
  • S63 Uniform Securities Agent State Law Examination
    1989-03-06

View on SEC IAPD

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