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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-04-19
  • NY RA
    APPROVED
    Since 2024-04-19

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
Citigroup Global Markets Inc New York NY 05/2008 04/2024
Morgan Stanley Smith Barney New York NY 06/2009 04/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 04/2024
Stifel, Nicolaus & Company, Incorporated New York City NY 04/2024 Present
  • 05/2008 → 04/2024
    Citigroup Global Markets Inc
    New York, NY
  • 06/2009 → 04/2024
    Morgan Stanley Smith Barney
    New York, NY
  • 01/2015 → 04/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 04/2024 → Present
    New York City, NY
Previous Registrations
Other Businesses

1. Klingen Associates Lc; 3 Derby Ct. Loudonville NY 12211; Rental Property; Director; Oversee Operations; 12/17/2010; 36hrs/year; Not During Securities Trading Hours; Investment-related 2. Pando Y Calvo Llc; 429 Marquesas Ct. Marco Island Fl 34146; Rental Property; Director; Oversee Business; 04/29/2024; 24hrs/year; Not During Securities Trading Hours; Investment-related 3. Adirondack Amusements Inc.; Main St. Old Forge Ny 13420; Seasonal Arcade and Pizzeria; Vice-pressident; Over See Operations; 01/01/1984; 12.hrs/year; Not During Securities Trading Hours; Not Investment-related 4. Halfmoon Ice Cream Inc.; 1455 Vischer Ferry Rd. Clifton Park Ny 12065; Seasonal Fast Food Restaurant; President; Oversee Operations; 11/30/1995; 50.hrs/year; Not During Securities Trading Hours; Not Investment-related 5. 1455 Vischer Ferry LLC; 1455 Vischer Ferry Rd. clifton Park NY 12065; Rental Property; Director; Oversee Operations; 01/01/2013; 12hrs/year; Not During Securities Trading Hours; Investment-related 6. Birch Avenue Cottages Inc.; 34 Brich Avenue Lake George NY 12845; home owners association; President; oversee association; 01/01/2010; 5.00hrs/year; Not During Securities Trading Hours; Not Investment-related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-08
  • S66 Uniform Combined State Law Examination
    2001-06-08

View on SEC IAPD

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