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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2009-10-16
  • IA RA
    APPROVED
    Since 2009-10-16

Branch Locations

304 E 5Th St Pob 2008, Storm Lake, IA 50588-2312 • 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 Storm Lake IA 10/2009 Present
Previous Registrations
Other Businesses

1. STORM LAKE HIGH SCHOOL FOUNDATION; 621 TORNADO DR. STORM LAKE IA 50588; SCHOOL DISTRICT FOUNDATION; PRESIDENT; RUNS THE MEETINGS; AFFILIATION STARTED 09/01/2016; 1 HOUR PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 2. MATT PHILLIPS; 913 OAK LANE STORM LAKE IA 50588; CONSTRUCTION AND SALES OF CORNHOLE SETS; OWNER; AFFILIATION STARTED 06/01/2014; 4 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 3. Storm Lake Rotary Club; PO Box 1233 Storm Lake IA 50588; Community Service; President; Run the meetings; 07/01/2024; 2.00hrs/week; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-06
  • S66 Uniform Combined State Law Examination
    2008-08-06
Other Names
  • Matthew Dean Phillips
  • Matthew Dean Phillips

View on SEC IAPD

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