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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2023-10-26
TX RA APPROVED 2023-10-26
  • NH RA
    APPROVED
    Since 2023-10-26
  • TX RA
    APPROVED
    Since 2023-10-26

Branch Locations

276 Newport Road Suite 104, New London, NH 03257 • 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 New London NH 10/2008 Present
  • 10/2008 → Present
    Stifel Nicolaus & Co Inc
    New London, NH
Previous Registrations
  • 2007-11-15 → 2008-09-22
    Banc Of America Investment Services, Inc.
    Lincoln, RI
Other Businesses

1. Hopkinton Youth Sports Association; PO Box 803 Contoocook NH 03229; Youth Sports Organization; President; run the board meetings, coordinate youth sports for the town of Hopkinton, NH; 3/13/23; 10 hrs/month; Not During Securities Trading Hours; Not Investment Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-25
S66 Uniform Combined State Law Examination 2007-08-09
  • S65 Uniform Investment Adviser Law Examination
    2023-10-25
  • S66 Uniform Combined State Law Examination
    2007-08-09
Other Names
  • Gregory Kerr

View on SEC IAPD

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