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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 2014-04-10
ID RA APPROVED 2012-03-01
  • TX RA
    APPROVED_RES
    Since 2014-04-10
  • ID RA
    APPROVED
    Since 2012-03-01

Branch Locations

111 N. Main, 3Rd Floor, Suite B Pob 5389, Ketchum, ID 83340 • 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 & Co Inc Ketchum ID 02/2012 Present
  • 02/2012 → Present
    Stifel Nicolaus & Co Inc
    Ketchum, ID
Previous Registrations
Other Businesses

1. 26 Lake Creek Drive Residence; 26 Lake Creek Drive Ketchum ID 83340; rental property; landlord; none - my husband handles all of it. My name is on the title and the checking account; 02/01/2018; 10.00 Hour(s) Per Year; not during securities trading hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-24
S63 Uniform Securities Agent State Law Examination 1997-05-02
  • S65 Uniform Investment Adviser Law Examination
    1998-01-24
  • S63 Uniform Securities Agent State Law Examination
    1997-05-02
Designations

View on SEC IAPD

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