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Richard Marty Waggener

Stifel, Nicolaus & Company, Incorporated

Palm Beach Gardens, FL

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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 2026-05-05
FL RA APPROVED 2007-07-31
  • TX RA
    APPROVED_RES
    Since 2026-05-05
  • FL RA
    APPROVED
    Since 2007-07-31

Branch Locations

3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410 • 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 Palm Beach Gardens FL 07/2007 Present
Previous Registrations
  • 1999-07-08 → 2007-07-31
    Ryan Beck & Co.
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-29
S63 Uniform Securities Agent State Law Examination 1996-12-20
  • S65 Uniform Investment Adviser Law Examination
    1999-05-29
  • S63 Uniform Securities Agent State Law Examination
    1996-12-20
Other Names
  • Rick Waggener

View on SEC IAPD

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