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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-12-13
IA RA APPROVED 2009-08-14
  • TX RA
    APPROVED_RES
    Since 2016-12-13
  • IA RA
    APPROVED
    Since 2009-08-14

Branch Locations

173 W Fourth St, Waterloo, IA 50701-5401 • 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 Waterloo IA 08/2009 Present
Previous Registrations
Other Businesses

1. Cedar Valley Irish Cultural Association; 215 E 4th Street Waterloo IA 50701; Operations for the Iowa Irish Fest located in Waterloo Iowa; Voting Board Member; Meet 3-4 times per year to discuss operations, finances and volunteer manpower for the annual Iowa Irish Fest; 12/22/2023; 5.00hrs/year; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-26
  • S66 Uniform Combined State Law Examination
    2004-05-26

View on SEC IAPD

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