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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
VA RA APPROVED 2015-12-04
  • DC RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04
  • VA RA
    APPROVED
    Since 2015-12-04

Branch Locations

Alexandria, VA • United States

1776 I Street, Washington, DC 20006 • 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 Washington DC 12/2015 Present
Previous Registrations
  • 2013-02-15 → 2015-12-04
    Barclays Capital Inc.
    Washington, DC
    New York, NY
  • 2012-10-04 → 2013-03-01
    Washington, DC
Other Businesses

1. American Heart Association - PULSE Committee; 7272 Greenville Ave, Dallas, TX 75231; Young professionals volunteer committee of the AHA; Co-President; Help lead the group of volunteers in their fundraising efforts; 01/01/2021; 3 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Rental Property; 1701 16th St NW, Apt 822,Washington, DC 20009; Owner/Landlord; 08/01/2023; 2 Hours per Year; Not During Securities Trading Hours; Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-03
  • S66 Uniform Combined State Law Examination
    2012-08-03

View on SEC IAPD

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