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Joanne L Hoffman

Stifel, Nicolaus & Company, Incorporated

Overland Park, KS

CRD 3114366

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

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
KS RA APPROVED 2018-01-18
  • TX RA
    APPROVED_RES
    Since 2020-03-31
  • KS RA
    APPROVED
    Since 2018-01-18

Branch Locations

40 Corporate Woods Building 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS 66210 • 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
Wells Fargo Advisors Llc Overland Park KS 05/2009 11/2016
Wells Fargo Clearing Services, Llc Overland Park KS 11/2016 01/2018
Stifel, Nicolaus & Company, Incorporated Overland Park KS 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-14
S63 Uniform Securities Agent State Law Examination 2005-06-04
  • S66 Uniform Combined State Law Examination
    2011-09-14
  • S63 Uniform Securities Agent State Law Examination
    2005-06-04

View on SEC IAPD

Nearby Firms

MARINER
MARINER INDEPENDENT
MARINER WEALTH

Nearby Investors

ALANA DENNEY SCOTT
MARK RICHARD VLASIC
MATTHEW DOUGLAS FISHER

Nearby Offices

MARINER · OVERLAND PARK, KS
MARINER INDEPENDENT · OVERLAND PARK, KS
MARINER WEALTH · OVERLAND PARK, KS

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