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Craig L Siena

Stifel, Nicolaus & Company, Incorporated

New York, NY

CRD 4582762

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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
NY RA APPROVED 2021-05-26
TX RA APPROVED 2020-05-06
CT RA APPROVED 2015-07-07
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED
    Since 2020-05-06
  • CT RA
    APPROVED
    Since 2015-07-07

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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 07/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-03
S63 Uniform Securities Agent State Law Examination 2003-01-30
  • S66 Uniform Combined State Law Examination
    2010-08-03
  • S63 Uniform Securities Agent State Law Examination
    2003-01-30
Designations
  • Certified Financial Planner
Other Names
  • Craig Louis Siena
  • Craig Louis Siene
  • Craig Louis Siena
  • Craig Louis Siena

View on SEC IAPD

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