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James Michael Pingleton

Stifel, Nicolaus & Company, Incorporated

St. Louis, MO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2014-04-10
  • MO RA
    APPROVED
    Since 2014-04-10

Branch Locations

501 North Broadway, St. Louis, MO 63102 • 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 St. Louis MO 11/2010 Present
  • 11/2010 → Present
    Stifel Nicolaus
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-09
  • S66 Uniform Combined State Law Examination
    2014-04-09
Other Names
  • James Pingleton
  • Jim Pingleton

View on SEC IAPD

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