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Scott Frank Hanna

Stifel, Nicolaus & Company, Incorporated

Irvine, CA

CRD 2881977

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2011-01-03
TX RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03
  • TX RA
    APPROVED
    Since 2011-01-03

Branch Locations

400 Spectrum Center Drive, Irvine, CA 92618 • 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 San Juan Capistrano CA 01/2011 Present
  • 01/2011 → Present
    Stifel Nicolaus & Co Inc
    San Juan Capistrano, CA
Previous Registrations
  • 2009-06-01 → 2011-01-12
    Morgan Stanley
    Irvine, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Irvine, CA
  • 1998-08-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Irvine, CA
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-03
S63 Uniform Securities Agent State Law Examination 1997-08-06
  • S65 Uniform Investment Adviser Law Examination
    1997-10-03
  • S63 Uniform Securities Agent State Law Examination
    1997-08-06

View on SEC IAPD

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