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Louisa Sakkis

Stifel, Nicolaus & Company, Incorporated

Alamo, CA

Walnut Creek, CA

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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 2024-11-22
CA RA APPROVED 2011-06-21
  • TX RA
    APPROVED_RES
    Since 2024-11-22
  • CA RA
    APPROVED
    Since 2011-06-21

Branch Locations

Alamo, CA • United States

500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus St. Louis MO 06/2011 Present
  • 06/2011 → Present
    Stifel Nicolaus
    St. Louis, MO
Previous Registrations
  • 2009-06-01 → 2011-06-20
    Morgan Stanley
    Oakland, CA
    Tacoma, WA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Oakland, CA
  • 2004-08-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Oakland, CA
    Oakland, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-06
S63 Uniform Securities Agent State Law Examination 2004-07-29
  • S65 Uniform Investment Adviser Law Examination
    2004-08-06
  • S63 Uniform Securities Agent State Law Examination
    2004-07-29
Other Names
  • Louisa Sakkis
  • Louisa Berg

View on SEC IAPD

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