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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 2015-11-09
MD RA APPROVED 2007-08-10
  • TX RA
    APPROVED
    Since 2015-11-09
  • MD RA
    APPROVED
    Since 2007-08-10

Branch Locations

303 International Circle Suite 590, Hunt Valley, MD 21030 • United States

Port Deposit, MD • 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 Baltimore MD 08/2007 Present
  • 08/2007 → Present
    Stifel Nicolaus
    Baltimore, MD
Previous Registrations
Other Businesses

1. Crab Alley Craft House LLC; 57 Devon Drive Port Deposit MD 21904; Rental Property; Co-Owner; advisor; affiliation started 01/01/2014; 36.0 hours per year; not during securities trading hours; not investment-related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-12
  • S66 Uniform Combined State Law Examination
    1999-08-12
Designations

View on SEC IAPD

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