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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 2020-01-21
TX RA APPROVED 2020-01-21
  • PA RA
    APPROVED
    Since 2020-01-21
  • TX RA
    APPROVED
    Since 2020-01-21

Branch Locations

416 S. Center Street Suite 1, Ebensburg, PA 15931 • 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 Ebensburg PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Ebensburg PA 11/2016 01/2020
Stifel Nicolaus & Co Inc Altoona PA 01/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Ebensburg, PA
  • 11/2016 → 01/2020
    Ebensburg, PA
  • 01/2020 → Present
    Stifel Nicolaus & Co Inc
    Altoona, PA
Previous Registrations
Other Businesses

1. Rental Property; Ebensburg, PA 15931; Residential Rental Properties; Owner; 06/01/2018; 15 Hours per Year; Not During Securities Trading Hours; Investment-Related. 2. Ebensburg Youth League; PO Box 834, Ebensburg, PA 15931; Youth Baseball; Board Member; Handling deposits and management of bank account; 09/30/2022; 30 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 3. SPG Ebensburg, LLC; 505 Belmont Avenue, Ebensburg, PA 15931; Commercial and Residential Rental Property Ownership and Management; Managing Member; Renting out commercial and residential spaces to tenants; 11/02/2020; 5 Hours per Week; Not During Securities Trading Hours; Investment-Related. 4. Ebensburg Main Street Partnership 300 West High Street Ebensburg PA15931; This is a civic group dedicated to the betterment of the Ebensburg community that organizes and operates many community events; Board Member At Large; Assisting with events that contribute to the betterment of our community; 01/17/2024; 1.00hr/month; During Securities Trading Hours; Not Investment-Related. 5. League President of Ebensburg Youth League; PO Box 834 Ebensburg PA 15931; Providing our community's youth to participate in recreation league youth baseball; President; General Administration of Activities of 10 other board members, 20 head coaches, and 200 players; 10/01/2025; 10 hrs/month; Not during security trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-12
  • S66 Uniform Combined State Law Examination
    2002-11-12
Designations

View on SEC IAPD

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