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Thomas Brian Sernett

Stifel, Nicolaus & Company, Incorporated

Mason City, IA

Mankato, MN

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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 2020-07-23
MN RA APPROVED 2014-01-31
IN RA APPROVED 2009-10-16
IA RA APPROVED 2009-10-16
  • TX RA
    APPROVED
    Since 2020-07-23
  • MN RA
    APPROVED
    Since 2014-01-31
  • IN RA
    APPROVED
    Since 2009-10-16
  • IA RA
    APPROVED
    Since 2009-10-16

Branch Locations

7 North Federal Street, Mason City, IA 50401-3318 • United States

111 South 2Nd Street Suite 110, Mankato, MN 56001 • 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
Stifel, Nicolaus & Company, Incorporated Mason City IA 10/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-01
S63 Uniform Securities Agent State Law Examination 2000-07-27
  • S65 Uniform Investment Adviser Law Examination
    2000-09-01
  • S63 Uniform Securities Agent State Law Examination
    2000-07-27
Designations
Other Names
  • Tom Sernett

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Mason City, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · MASON CITY, IA
EDWARD JONES · Mason City, IA
STATE FARM INVESTMENT MANAGEMENT CORP. · Mason City, IA
CONCORDE ASSET MANAGEMENT, LLC · Mason City, IA
EDWARD JONES · Mason City, IA
INTEGRITY ALLIANCE, LLC. · MASON CITY, IA
AMERIPRISE FINANCIAL SERVICES, LLC · MASON CITY, IA

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