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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-26
TX RA APPROVED 2014-09-30
CT RA APPROVED 2013-11-25
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED
    Since 2014-09-30
  • CT RA
    APPROVED
    Since 2013-11-25

Branch Locations

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • 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 Garden City NY 11/2013 Present
  • 11/2013 → Present
    Stifel Nicolaus & Co Inc
    Garden City, NY
Previous Registrations
Other Businesses

1. Gaffney Family LLC; 47 Littleworth Ln, Sea Cliff, NY 11579; Public Secuirity Investments; Owner; Manager; 03/10/2021; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-11
  • S66 Uniform Combined State Law Examination
    2013-03-11
Other Names
  • Patrick Joseph Gaffney

View on SEC IAPD

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