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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 2018-07-26
PA RA APPROVED 2013-05-20
  • TX RA
    APPROVED_RES
    Since 2018-07-26
  • PA RA
    APPROVED
    Since 2013-05-20

Branch Locations

1284 Liberty Street Pob 1060, Franklin, PA 16323 • 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 Franklin PA 05/2013 Present
  • 05/2013 → Present
    Stifel Nicolaus & Co Inc
    Franklin, PA
Previous Registrations
  • 2009-11-13 → 2013-05-20
    Oil City, PA
    Clarion, PA
    Punxsutawney, PA
    Shippenville, PA
    Clarion, PA
    Clarion, PA
    Shippenville, PA
    Punxsutawney, PA
    Clarion, PA
    Clarion, PA
    Saegertown, PA
    Titusville, PA
    Oil City, PA
    Clarion, PA
    Punxsutawney, PA
    Shippenville, PA
    Clarion, PA
    Dubois, PA
    Oil City, PA
    Franklin, PA
    Cranberry, PA
  • 2009-04-28 → 2009-11-13
    Natcity Investments, Inc.
    Saegertown, PA
  • 2008-05-28 → 2008-11-25
    St Louis, MO
    Grove City, PA
Other Businesses

1. FKL HOLDINGS; 1284 LIBERTY ST FRANKLIN PA 16323; REAL ESTATE HOLDINGS AND RENTAL; OWNER; PURHCASE PROPERTY, MAINTAIN PROPERTIES, NEGOCIATE LEASES, LANDLORD/TENANT RELATIONS; 12/12017; 5.0 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED. 2. Franklin Moving Forward; 1255 Liberty St, Franklin, PA 16323; Non-Profit for the betterment of the Franklin, PA area and it's local Chamber of Commerce; Chairman; Run meetings, organize the board and committees; 12/21/2020; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 3. Sandycreek Township Planning Commission; 878 Pone Ln Franklin PA 16323; Review Zoning and ordinance changes; Board Member; review and recommend zoning and ordinance changes; 1/3/22; 1 hour per month; not during sec trading hours; inv related 4. UPMC Northwest Board of Directors; 100 Fairfield Dr, Seneca, PA 16346; Hospital; Board Member; Review the administration of UPMC Northwest; 11/1/2024; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-22
  • S66 Uniform Combined State Law Examination
    2008-05-22

View on SEC IAPD

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