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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_RES 2021-06-01
NY RA APPROVED 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2021-06-01
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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 & Co Inc New York NY 09/2016 Present
  • 09/2016 → Present
    Stifel Nicolaus & Co Inc
    New York, NY
Previous Registrations
Other Businesses

1. Schneiweiss Investment Group LLC; 17 Winged Foot Dr, Manalapan, NJ 07726; LLC for purpose of possible future real estate purchases; Founder/Managing Partner; All functions; 05/22/2024; 2 hrs/week; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-02-20
S63 Uniform Securities Agent State Law Examination 2001-02-02
  • S66 Uniform Combined State Law Examination
    2003-02-20
  • S63 Uniform Securities Agent State Law Examination
    2001-02-02

View on SEC IAPD

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