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Jonathan B. Ricks

Stifel, Nicolaus & Company, Incorporated

Traverse City, MI

Maple City, MI

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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 2019-01-11
MI RA APPROVED 2009-11-25
  • TX RA
    APPROVED_RES
    Since 2019-01-11
  • MI RA
    APPROVED
    Since 2009-11-25

Branch Locations

202 East State Street Suite 300, Traverse City, MI 49684 • United States

Maple City, MI • 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 Traverse City MI 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-14
S63 Uniform Securities Agent State Law Examination 2007-04-21
  • S66 Uniform Combined State Law Examination
    2007-09-14
  • S63 Uniform Securities Agent State Law Examination
    2007-04-21
Other Names
  • Jonathan B. Ricks
  • Jonathan Bernard Ricks

View on SEC IAPD

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INDEPENDENT WEALTH MANAGEMENT, LLC · TRAVERSE CITY, MI
CHERRY TREE WEALTH MANAGEMENT, LLC · Traverse City, MI
PFS INVESTMENTS INC. · TRAVERSE CITY, MI
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