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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 2015-11-10
AR RA APPROVED 2015-07-07
  • TX RA
    APPROVED_RES
    Since 2015-11-10
  • AR RA
    APPROVED
    Since 2015-07-07

Branch Locations

6101 Phoenix Avenue Suite 2, Fort Smith, AR 72903 • 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 & Company, Incorporated Fort Smith AR 07/2015 Present
Stifel, Nicolaus & Company, Incorporated Fort Smith AR 07/2015 Present
Previous Registrations
  • 2009-02-13 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
    Ft. Smith, AR
  • 1998-04-30 → 2009-03-10
    Tulsa, OK
    Fort Smith, AR
    Fort Smith, AR
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-01-16
S65 Uniform Investment Adviser Law Examination 1998-01-16
  • S63 Uniform Securities Agent State Law Examination
    1998-01-16
  • S65 Uniform Investment Adviser Law Examination
    1998-01-16

View on SEC IAPD

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