John Carolyn

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-04-23

TX RA
APPROVED

Since 2025-04-23

Branch Locations

730 Town And Country Blvd. Suite 100, Houston, TX 77024 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Houston	TX	02/2002	04/2025
Stifel	Houston	TX	04/2025	Present

02/2002 → 04/2025

Ubs Financial Services Inc.

Houston, TX
04/2025 → Present

Stifel

Houston, TX

Previous Registrations

2002-04-29 → 2025-04-29

Ubs Financial Services Inc.

Houston, TX

Houston, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-04-26

S66 Uniform Combined State Law Examination

2002-04-26

View on SEC IAPD