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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-04-19
NY RA APPROVED 2024-04-19
TX RA APPROVED 2024-04-19
  • NJ RA
    APPROVED
    Since 2024-04-19
  • NY RA
    APPROVED
    Since 2024-04-19
  • TX 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
Morgan Stanley Smith Barney New York NY 06/2009 04/2024
Stifel, Nicolaus & Company, Incorporated New York City NY 04/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-10
  • S66 Uniform Combined State Law Examination
    2009-03-10

View on SEC IAPD

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