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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 2018-02-01
OH RA APPROVED 2009-03-10
  • TX RA
    APPROVED_RES
    Since 2018-02-01
  • OH RA
    APPROVED
    Since 2009-03-10

Branch Locations

3685 Stutz Drive-Suite 201, Canfield, OH 44406 • 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 Canfield OH 03/2009 Present
Previous Registrations
  • 2006-02-09 → 2009-03-10
    Butler, Wick & Co., Inc.
    Youngstown, OH
    Canfield, OH
    Canfield, OH
Other Businesses

1. Help Network of Northeast Ohio; 261 East Wood St Youngstown OH 44503; Crisis Center and Suicide Hotline; Treasurer and Board member, Finance/Audit Committee member; attends board meetings and reviews financials with other finance comm. members; affiliation started 05/20/2010; 2 hours per month; not during securities trading hours; not investment related. 2. First Covenant Church; 5210 Glenwood Ave, Youngstown, OH 44512; Church/Place of Worship; Non-member volunteer for Finance and Endowments; Report on Endowment accounts at monthly meetings; 01/04/2021; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 3. Ohio High School Athletic Association; 4080 Roselea Pl Columbus OH 43214; Administration and regulation of education-based interscholastic activities; Girls D2 Sectional tennis tournament Manager's Assistant; Assisting the tournament Manager in running the tournament; 10/03/2023; 8.00hrs/day; During Securities Trading Hours; Not Investment-Related 4. Kiwanis Club of Boardman - Youngstown; PO Box 3253 Boardman OH 44513; Service Club; President; Organize semi-monthly Club meetings. Board reviews committee reports, considers funding requests benefitting area youth, arranges for community leaders to speak to Club members at regular meetings; 10/01/2024; 4 hrs/month; During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-28
S63 Uniform Securities Agent State Law Examination 2001-09-10
  • S65 Uniform Investment Adviser Law Examination
    2006-07-28
  • S63 Uniform Securities Agent State Law Examination
    2001-09-10

View on SEC IAPD

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