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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 2023-05-24
IN RA APPROVED 2005-12-09
  • TX RA
    APPROVED_RES
    Since 2023-05-24
  • IN RA
    APPROVED
    Since 2005-12-09

Branch Locations

7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804 • 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 Fort Wayne IN 12/2005 Present
  • 12/2005 → Present
    Stifel Nicolaus & Co Inc
    Fort Wayne, IN
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-07-31
S65 Uniform Investment Adviser Law Examination 2001-07-03
  • S63 Uniform Securities Agent State Law Examination
    2001-07-31
  • S65 Uniform Investment Adviser Law Examination
    2001-07-03

View on SEC IAPD

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