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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 2019-05-15
OR RA APPROVED 2016-07-28
  • TX RA
    APPROVED_RES
    Since 2019-05-15
  • OR RA
    APPROVED
    Since 2016-07-28

Branch Locations

497 Oakway Road Suite 280, Eugene, OR 97401 • 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
Stifel, Nicolaus & Company, Incorporated Longmeadow MA 06/2007 Present
Previous Registrations
  • 2006-11-06 → 2007-06-05
    Ryan Beck & Co.
    Longmeadow, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-02
S63 Uniform Securities Agent State Law Examination 2001-04-02
  • S65 Uniform Investment Adviser Law Examination
    2006-11-02
  • S63 Uniform Securities Agent State Law Examination
    2001-04-02

View on SEC IAPD

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