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Eric Wayne Katten

Stifel, Nicolaus & Company, Incorporated

Melville, NY

CRD 4674883

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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_RES 2019-02-19
CT RA APPROVED 2014-09-26
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2019-02-19
  • CT RA
    APPROVED
    Since 2014-09-26

Branch Locations

400 Broadhollow Road Suite 401, Melville, NY 11747 • 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 & Co Inc Garden City NY 09/2014 Present
  • 09/2014 → Present
    Stifel Nicolaus & Co Inc
    Garden City, NY
Previous Registrations
  • 2009-06-01 → 2014-10-13
    Morgan Stanley
    Jericho, NY
  • 2007-11-09 → 2009-06-01
    Morgan Stanley & Co. Llc
    Jericho, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-04
  • S66 Uniform Combined State Law Examination
    2003-12-04
Other Names
  • Eric Katten

View on SEC IAPD

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