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Alexis Lopez

Stifel, Nicolaus & Company, Incorporated

Pueblo, CO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-02-15
TX RA APPROVED_RES 2022-02-14
  • CO RA
    APPROVED
    Since 2022-02-15
  • TX RA
    APPROVED_RES
    Since 2022-02-14

Branch Locations

119 West Fifth Street, Pueblo, CO 81003-3161 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2022
Stifel Nicolaus & Co Inc Pueblo CO 02/2022 Present
  • 01/2015 → 02/2022
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2022 → Present
    Stifel Nicolaus & Co Inc
    Pueblo, CO
Previous Registrations
  • 2009-12-16 → 2022-02-22
    Morgan Stanley
    South Jordan, UT
    Sarasota, FL
    Purchase, NY
    Fort Lauderdale, FL
    Tampa, FL
    Sarasota, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-08
  • S66 Uniform Combined State Law Examination
    2009-12-08

View on SEC IAPD

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