Catherine Mary Carr

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-05-21
AL	RA	APPROVED	2015-10-01

TX RA
APPROVED_RES

Since 2020-05-21
AL RA
APPROVED

Since 2015-10-01

Branch Locations

1490 Northbank Parkway Suite 100, Tuscaloosa, AL 35406 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Tuscaloosa	AL	10/2015	Present

10/2015 → Present

Stifel Nicolaus & Co Inc

Tuscaloosa, AL

Previous Registrations

2008-07-11 → 2015-10-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tuscaloosa, AL
2003-09-15 → 2008-07-24

Ubs Financial Services Inc.

Tuscaloosa, AL

Tuscaloosa, AL

Other Businesses

1. Notary; 1490 Northbank Pkwy Tuscaloosa AL 35406; Notary Public; 04/11/2017;1.00 Hour(s) Per Month; during securities trading hours; Not Investment-Related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-09-09

S66 Uniform Combined State Law Examination

2003-09-09

View on SEC IAPD

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews