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Stephanie Kay Morris

Stifel, Nicolaus & Company, Incorporated

Westlake Village, CA

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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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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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