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Stephanie Kay Morris

Stifel, Nicolaus & Company, Incorporated

Westlake Village, CA

CRD 2005744

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-30
TX RA APPROVED 2023-06-30
  • CA RA
    APPROVED
    Since 2023-06-30
  • TX RA
    APPROVED
    Since 2023-06-30

Branch Locations

3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Westlake Village CA 06/2015 06/2023
Stifel, Nicolaus & Company, Incorporated Los Angeles CA 06/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-08
S63 Uniform Securities Agent State Law Examination 1995-12-18
  • S65 Uniform Investment Adviser Law Examination
    2022-03-08
  • S63 Uniform Securities Agent State Law Examination
    1995-12-18
Other Names
  • Stephanie Kay Morris

View on SEC IAPD

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