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Gwendolyn May Pooley

Stifel, Nicolaus & Company, Incorporated

Bellevue, WA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2016-10-05
  • WA RA
    APPROVED
    Since 2016-10-05

Branch Locations

10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • 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
Wells Fargo Advisors Seattle WA 06/2013 09/2016
Stifel, Nicolaus & Company, Incorporated Bellevue WA 09/2016 Present
Previous Registrations
  • 2013-06-24 → 2016-10-04
    Wells Fargo Clearing Services, Llc
    Seattle, WA
  • 2009-06-01 → 2013-05-20
    Morgan Stanley
    Seattle, WA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Seattle, WA
  • 2006-06-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Seattle, WA
    Lynnwood, WA
Other Businesses

Costco; 1175 N 205th St Shoreline WA 98133; retail employee; clothing dept; 8/1/23; 25 hours per week; not during sec trading hours; not inv related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-19
S63 Uniform Securities Agent State Law Examination 1997-10-29
  • S66 Uniform Combined State Law Examination
    2006-06-19
  • S63 Uniform Securities Agent State Law Examination
    1997-10-29
Other Names
  • Gwen Pooley
  • Gwendolyn May Pooley
  • Gwendolyn M Pooley

View on SEC IAPD

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Other Offices

BASECAMP WEALTH ADVISORS, LLC · BELLEVUE, WA
THREADLINE WEALTH · BELLEVUE, WA
SCS · BELLEVUE, WA
STEWARD CAPITAL LLC. · BELLEVUE, WA
GALLAGHER FIDUCIARY ADVISORS, LLC · Bellevue, WA
LPL FINANCIAL LLC · BELLEVUE, WA
LIDO · BELLEVUE, WA
FOCUS PARTNERS WEALTH, LLC · Bellevue, WA

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