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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
  • PA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04

Branch Locations

125 High Street, Boston, MA 02110 • United States

Westwood, MA • 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 Boston MA 12/2015 Present
Previous Registrations
  • 2010-10-13 → 2015-12-04
    Barclays Capital Inc.
    Boston, MA
    New York, NY
  • 2001-08-18 → 2007-06-29
    Bingham Legg Advisers Llc
    Boston, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-10-12
  • S63 Uniform Securities Agent State Law Examination
    2010-10-12
Designations

View on SEC IAPD

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