Caroline Alyssa Sharp

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2015-12-04

TX RA
APPROVED

Since 2015-12-04

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Dallas	TX	12/2015	Present

12/2015 → Present

Stifel, Nicolaus & Company, Incorporated

Dallas, TX

Previous Registrations

2012-09-04 → 2015-12-04

Barclays Capital Inc.

Dallas, TX
2011-11-18 → 2012-08-29

Goldman Sachs Wealth Services, L.P.

Dallas, TX

Other Businesses

University of Oklahoma - Gene Rainbolt Graduate School of Business; 865 Research Parkway, Suite 300 Oklahoma City OK 73104; State university entity providing full-time and part-time MBA programs; MBA Program Advisory Board Member; Participate in discussions and provide advice on various topics, including student recruitment, corporate engagement, industry trends, and curriculum; 10/25/2018; 24.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-11-14

S66 Uniform Combined State Law Examination

2011-11-14

Other Names

Caroline Alyssa Lippman

View on SEC IAPD