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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-05-03
FL RA APPROVED 2022-04-28
TX RA APPROVED_RES 2022-04-28
  • IL RA
    APPROVED
    Since 2022-05-03
  • FL RA
    APPROVED
    Since 2022-04-28
  • TX RA
    APPROVED_RES
    Since 2022-04-28

Branch Locations

100 North Field Drive, Suite 340, Lake Forest, IL 60045 • United States

12800 University Drive Suite 300, Fort Myers, FL 33907 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Northbrook IL 07/2011 04/2022
Stifel Nicolaus & Co Inc Naples FL 04/2022 Present
  • 07/2011 → 04/2022
    Bank Of America, N.A.
    Northbrook, IL
  • 04/2022 → Present
    Stifel Nicolaus & Co Inc
    Naples, FL
Previous Registrations
  • 2008-01-04 → 2022-05-03
    Northbrook, IL
    Naples, FL
  • 2005-07-06 → 2008-01-09
    Chase Investment Services Corp.
    Chicago, IL
    Deerfield, IL
  • 2000-11-08 → 2005-07-06
    Banc One Securities Corporation
    Deerfield, IL
Other Businesses

1. Lakeside 401 LLC; 16701 Cave Cove Fort Myers FL 33913; holding company for storage unit for personal property; member; 01/01/2024; 0.00hrs/day; Not during securities trading hours; Not Investment-Related 2. Lakeside 402 LLC; 16701 Cave Cove 402 Fort Myers FL 33913; Holding company for a storage unit for personal property; 50%; 01/01/2024; 0.00hrs/day; Not during securities trading hours; Not Investment-Related 3. Wildblue Charitable Neighbors; 17001 Wildblue Blvd, Fort Myers, FL 33913; to provide volunteer services to Hunger & Housing, Animal Welfare, Youth Education, Seniors & Veterans of Lee County; I am on the services committee; Be active in Volunteering; 11/01/2024; 5 Hours per Month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-10
S63 Uniform Securities Agent State Law Examination 1997-12-29
  • S65 Uniform Investment Adviser Law Examination
    1999-11-10
  • S63 Uniform Securities Agent State Law Examination
    1997-12-29
Other Names
  • Tana M Dotts
  • Tana Reich

View on SEC IAPD

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