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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2015-01-13
TX RA APPROVED_RES 2015-01-12
  • NV RA
    APPROVED
    Since 2015-01-13
  • TX RA
    APPROVED_RES
    Since 2015-01-12

Branch Locations

50 W. Liberty Suite 100, Reno, NV 89501 • 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 Reno NV 12/2014 Present
  • 12/2014 → Present
    Stifel Nicolaus & Co Inc
    Reno, NV
Previous Registrations
Other Businesses

1. Reno Rodeo Association; 1350 N. Wells Reno NV 89509; rodeo; Board of Directors; vote on decisions needed by reno rodeo association; 4/10/19; 5 hr/mo; not during securities trading hours; not investment related. 2. Reno Rodeo Executive Board; 1350 N. Wells Reno NV 89509; Board of Directors; I sit on a 60 person board of directors, I do not give any advice on those while on those committees; 08/10/2022; 100 Hours per Year; not during securities trading hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-28
S63 Uniform Securities Agent State Law Examination 2011-04-15
  • S66 Uniform Combined State Law Examination
    2011-11-28
  • S63 Uniform Securities Agent State Law Examination
    2011-04-15
Other Names
  • James Elston

View on SEC IAPD

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