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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
  • PA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04

Branch Locations

125 High Street, Boston, MA 02110 • 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 Boston MA 12/2015 Present
Previous Registrations
  • 2013-10-15 → 2015-12-04
    Barclays Capital Inc.
    Boston, MA
    New York, NY
  • 2012-05-10 → 2013-10-23
    Boston, MA
Other Businesses

1. Story School Condo Association; 140 Elm St Marblehead MA 01945; Condo Association managing board; Managing Board Member of Story School Condo Association; signatory for approvals for condo; 02/02/2024; 12hrs/year; Not during securities trading hours; Not Investment-Related 2. The Beach Club; 80 Shepard Ave Swampscott, MA 01907; Social club; Assistant treasurer; board meetings and voting and assist the treasurer; 01/01/2025; 30hrs/yr; Not during securities trading hours; Not investment related 3. Siesta Royale Apartments Inc; 6334 Midnight Pass Rd Siesta Key, FL 34242; Co-Op Association; board of directors for association; secretary; 11/01/2024; 4hrs/qtr; Not during securities trading hours; Not investment related 4. Marblehead Dollars for Scholars; PO Box 4 Marblehead, MA 01945; Local Scholarships for Marblehead students; board member; help with fundraising activities locally; 01/01/2008; 30hrs/yr; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-09
S63 Uniform Securities Agent State Law Examination 2007-12-21
  • S66 Uniform Combined State Law Examination
    2012-05-09
  • S63 Uniform Securities Agent State Law Examination
    2007-12-21
Designations
Other Names
  • Katherine Sheridan
  • Katherine Kelly Sheridan
  • Katherine Kelly Sheridan

View on SEC IAPD

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