Joshua Glass

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-09-11
TX	RA	APPROVED_RES	2019-09-10

CA RA
APPROVED

Since 2019-09-11
TX RA
APPROVED_RES

Since 2019-09-10

Branch Locations

Encino, CA • United States

2121 Avenue Of The Stars (Fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Los Angeles	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Los Angeles	CA	11/2016	09/2019
Stifel Nicolaus & Co Inc	Los Angeles	CA	09/2019	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Los Angeles, CA
11/2016 → 09/2019

Wells Fargo Clearing Services, Llc

Los Angeles, CA
09/2019 → Present

Stifel Nicolaus & Co Inc

Los Angeles, CA

Previous Registrations

2007-06-15 → 2019-09-16

Wells Fargo Clearing Services, Llc

Los Angeles, CA
2003-10-16 → 2007-06-26

Ubs Financial Services Inc.

Beverly Hills, CA

Beverly Hills, CA

Other Businesses

1. Campbell Hall Alumni Board; 4533 Laurel Canyon Blvd, Studio City, CA 91607; Private school alumni board; Board Member; 09/03/2018; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-15

S66 Uniform Combined State Law Examination

2003-10-15

View on SEC IAPD