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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 2020-03-14
CO RA APPROVED 2009-06-03
  • TX RA
    APPROVED_RES
    Since 2020-03-14
  • CO RA
    APPROVED
    Since 2009-06-03

Branch Locations

44 Cook Street Suite 450, Denver, CO 80206 • 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 Denver CO 06/2009 Present
  • 06/2009 → Present
    Stifel Nicolaus & Co Inc
    Denver, CO
Previous Registrations
Other Businesses

1. Uptown Ballers Corporation; 1123 W 111th Place, Northglenn, CO 80234; Youth basketball club; Treasurer/Registered Agent; Keep the corporation in compliance with the state of Colorado, track the expenses of the club, facilitate deposits and donations to the club and pay league fees for tournaments from the club bank acct; 10/28/2022; 4 Hours per Month; Not during securities trading hours; Not Investment-Related. 2. K Bar K Minerals LLC; 1123 w 111th place Northglenn, CO 80234; A Family LLC is being opened to put mineral rights; Registered Agent; I will be the registered agent for the LLC and 1/4 ownership; 03/16/2026; 1 hour/year; Not during securities trading hours; Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-04
  • S66 Uniform Combined State Law Examination
    2008-02-04
Other Names
  • Nickolette Lee Beery
  • Nickolette L Phelps

View on SEC IAPD

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