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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 2015-07-29
  • MO RA
    APPROVED
    Since 2015-07-29

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 & Co Inc St. Louis MO 07/2015 Present
  • 07/2015 → Present
    Stifel Nicolaus & Co Inc
    St. Louis, MO
Previous Registrations
Other Businesses

1. FINRA Dispute Resolution; 1700 K Street, NW Washington DC DC 20006; FINRA Arbitration and Mediation; FINRA Arbitrator; Arbitrator; 01/01/2025; 1 hr/month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-18
  • S66 Uniform Combined State Law Examination
    2012-12-18

View on SEC IAPD

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