Best Investors Account Sign in

Danny Lee Stockton

Stifel, Nicolaus & Company, Incorporated

Lincoln, CA

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-13
CA RA APPROVED 2008-03-24
  • TX RA
    APPROVED_RES
    Since 2023-04-13
  • CA RA
    APPROVED
    Since 2008-03-24

Branch Locations

985 Sun City Lane, Lincoln, CA 95648 • 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 Lincoln Hills CA 03/2008 Present
  • 03/2008 → Present
    Stifel Nicolaus
    Lincoln Hills, CA
Previous Registrations
  • 2006-06-02 → 2008-03-27
    Wells Fargo Clearing Services, Llc
    Folsom, CA
    Roseville, CA
  • 1997-07-08 → 2006-06-09
    A. G. Edwards & Sons, Inc.
    Lincoln Hills, CA
    Lincoln, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-15
S63 Uniform Securities Agent State Law Examination 1991-05-10
  • S65 Uniform Investment Adviser Law Examination
    2009-12-15
  • S63 Uniform Securities Agent State Law Examination
    1991-05-10
Other Names
  • Dan Lee Stockton

View on SEC IAPD

Other Firms

EDWARD JONES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
INNOVATIVE FINANCIAL ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
PRIVATE ADVISOR GROUP, LLC
LPL FINANCIAL LLC

Other Investors

GREGORY EUGENE GRIFFIN
Mandie VanBuren
Kenneth Aquino
MANSOOR ALI SAQI
JEREMY VINCENTE LOPEZ
Sean Lockwood
MICHAEL ANTHONY CORBELLA
PATRICK DIFUNTORUM

Other Offices

EDWARD JONES · LINCOLN, CA
EDWARD JONES · LINCOLN, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LINCOLN, CA
J.P. MORGAN SECURITIES LLC · LINCOLN, CA
WELLS FARGO CLEARING SERVICES, LLC · LINCOLN, CA
INNOVATIVE FINANCIAL ADVISORS, LLC · LINCOLN, CA
EDWARD JONES · LINCOLN, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Lincoln, CA

More in Lincoln, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor