Sydney Walker

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-05-17
CA	RA	APPROVED	2016-05-26

TX RA
APPROVED

Since 2023-05-17
CA RA
APPROVED

Since 2016-05-26

Branch Locations

Santa Barbara, CA • United States

206 East Anapamu Street, Santa Barbara, CA 93101 • 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	Santa Barbara	CA	05/2016	Present

05/2016 → Present

Stifel Nicolaus & Co Inc

Santa Barbara, CA

Previous Registrations

2009-07-30 → 2016-05-27

Wedbush Securities Inc.

Santa Barbara, CA
2008-01-01 → 2009-07-23

Wells Fargo Clearing Services, Llc

Santa Barbara, CA
2002-02-19 → 2008-01-01

A. G. Edwards & Sons, Inc.

Santa Barbara, CA

Santa Barbara, CA

St. Louis, MO

Other Businesses

1. St. Francis Foundation; 2323 De la Vina Street, #104 Santa Barbara CA 93101; Humanitarian org; Board Member, Investment Committee Member; guide direction, vote on motions, serve mission; 1/1/2015; 5.0 hours per month; during securities trading hours; Not Investment-Related. 2. All Saints by-the-Sea; 83 Eucalyptus Lane, Santa Barbara, CA 93108; Religious Organization; Outreach Committee; evaluate grant requests, make giving decisions; 08/01/2016; 4 hours per month; during securities trading hours; not investment-related.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-05-27
S63	Uniform Securities Agent State Law Examination	1998-02-23

S66 Uniform Combined State Law Examination

2014-05-27
S63 Uniform Securities Agent State Law Examination

1998-02-23

Designations

View on SEC IAPD