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Daniel G Raupp

Stifel, Nicolaus & Company, Incorporated

Barrington, IL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-11-21
TX RA APPROVED_RES 2019-11-19
  • IL RA
    APPROVED
    Since 2019-11-21
  • TX RA
    APPROVED_RES
    Since 2019-11-19

Branch Locations

257 East Main Street, Barrington, IL 60010 • 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
Morgan Stanley Private Bank, National Association New York NY 01/2015 11/2019
Stifel Nicolaus & Co Inc Barrington IL 11/2019 Present
  • 01/2015 → 11/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 11/2019 → Present
    Stifel Nicolaus & Co Inc
    Barrington, IL
Previous Registrations
  • 2009-06-01 → 2019-11-18
    Morgan Stanley
    Barrington, IL
    Barrington, IL
  • 2007-09-14 → 2009-06-01
    Morgan Stanley & Co. Llc
    Barrington, IL
  • 2005-12-14 → 2007-09-17
    Bmo Harris Financial Advisors, Inc.
    Barrington, IL
  • 2001-12-04 → 2005-12-31
    Harrisdirect Llc
    Barrington, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-15
S63 Uniform Securities Agent State Law Examination 1989-07-19
  • S65 Uniform Investment Adviser Law Examination
    2000-11-15
  • S63 Uniform Securities Agent State Law Examination
    1989-07-19
Other Names
  • Dan Raupp
  • Daniel George Raupp

View on SEC IAPD

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