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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 2020-03-31
MI RA APPROVED 2019-03-14
  • TX RA
    APPROVED_RES
    Since 2020-03-31
  • MI RA
    APPROVED
    Since 2019-03-14

Branch Locations

950 Trade Center Way Suite 305, Portage, MI 49002 • 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 Portage MI 07/2008 Present
  • 07/2008 → Present
    Stifel Nicolaus & Co Inc
    Portage, MI
Previous Registrations
  • 2006-06-16 → 2008-08-18
    Natcity Investments, Inc.
    Kalamazoo, MI
    Grand Rapids, MI
Other Businesses

1. STATE OF MICHIGAN,NOTARY PUBLIC COUNTY OF KALAMAZOO; 6580 EDGEFIELD ST PORTAGE MI 49024; NOTARY; AFFILIATION STARTED 07/15/2010; 1 HOUR PER YEAR; NOT INVESTMENT RELATED; NOT DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-08
S63 Uniform Securities Agent State Law Examination 1998-06-06
  • S65 Uniform Investment Adviser Law Examination
    2005-03-08
  • S63 Uniform Securities Agent State Law Examination
    1998-06-06
Other Names
  • Kerrie Lee Peterson

View on SEC IAPD

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