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Kathleen Elisabeth Frank

Stifel, Nicolaus & Company, Incorporated

St. Louis, MO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2004-06-01
  • MO RA
    APPROVED
    Since 2004-06-01

Branch Locations

501 N. Broadway, St. Louis, MO 63102 • 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 St. Louis MO 06/2004 Present
Stifel Independent Advisors, Llc St. Louis MO 02/2008 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-22
S63 Uniform Securities Agent State Law Examination 2000-02-16
  • S65 Uniform Investment Adviser Law Examination
    2001-03-22
  • S63 Uniform Securities Agent State Law Examination
    2000-02-16
Other Names
  • Kathleen Hewerdine
  • Kathy E Cooper
  • Kathleen E Cooper
  • Kathleen E Frank
  • Kathleen Elisabeth Cooper
  • Kathy Frank

View on SEC IAPD

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