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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 2020-01-14
OH RA APPROVED 2005-12-19
  • TX RA
    APPROVED_RES
    Since 2020-01-14
  • OH RA
    APPROVED
    Since 2005-12-19

Branch Locations

109 East Main Street, Suite 308, Lancaster, OH 43130 • 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, Inc Columbus OH 12/2005 Present
  • 12/2005 → Present
    Stifel, Nicolaus & Company, Inc
    Columbus, OH
Previous Registrations
  • 2005-06-27 → 2005-12-21
    Advest, Inc.
    Lancaster, OH
Other Businesses

1. Ohio University Coordinating Council; 1570 Granville Pike Lancaster OH 43130; Education; Advisory Council member; Community member who advises Ohio University-Lancaster branch campus on community affairs, engage with Ohio University branch campus dean to help collaborate community needs with the university; 11/17/2023; 10.00hrs/year; During securities trading hours; Not Investment-Related 2. Fairfield Medical Center Foundation; 401 N. Ewing Street Lancaster OH 43130; Raising money for local hospital needs; Past President of Board of Directors; Serve as board member, helping advise on financial decisions, grant decisions, and overall decisions relating to the hospital foundation; 1/1/24; 25 hours per year; not during securities trading hours; not inv related 3. Family YMCA of Lancaster and Fairfield County; 465 W. Sixth Ave. Lancaster, OH 43130; Exercise, childcare facility; Board of Directors; Make decisions for governance of organization through oversight of CEO and staff; 07/01/2025; 2hrs/mth; Not during securities trading hours; Not investment related 4. Salvation Army Fairfield County Ohio; 228 W. Hubert Ave. Lancaster, OH 43130; charity; board of directors; make decisions at the board level for local chapter of Salvation Army; 10/01/2025; 2hrs/mth; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-05
S63 Uniform Securities Agent State Law Examination 2001-10-10
  • S65 Uniform Investment Adviser Law Examination
    2006-06-05
  • S63 Uniform Securities Agent State Law Examination
    2001-10-10

View on SEC IAPD

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