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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2021-09-17
TX RA APPROVED 2021-09-17
  • AR RA
    APPROVED
    Since 2021-09-17
  • TX RA
    APPROVED
    Since 2021-09-17

Branch Locations

3955 Central Avenue Suite 6, Hot Springs, AR 71913 • 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 Hot Springs AR 09/2021 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 09/2021
  • 09/2021 → Present
    Stifel Nicolaus & Co Inc
    Hot Springs, AR
  • 01/2015 → 09/2021
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2009-06-01 → 2021-10-08
    Hot Springs, AR
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Hot Springs, AR
  • 1997-12-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Hot Springs, AR
    Hot Springs, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-16
S63 Uniform Securities Agent State Law Examination 1997-05-02
  • S65 Uniform Investment Adviser Law Examination
    1997-05-16
  • S63 Uniform Securities Agent State Law Examination
    1997-05-02
Other Names
  • Mike Adams

View on SEC IAPD

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