Best Investors Account Sign in

Stuart Mark Swift

Stifel, Nicolaus & Company, Incorporated

Cincinnati, OH

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-19
OH RA APPROVED 2019-02-14
  • TX RA
    APPROVED_RES
    Since 2020-03-19
  • OH RA
    APPROVED
    Since 2019-02-14

Branch Locations

221 East Fourth Street, Cincinnati, OH 45202 • 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
Ubs Financial Services, Inc. Cincinnati OH 01/2017 02/2019
Brigham Young University Provo UT 08/2016 12/2016
Brigham Young University Provo UT 08/2016 12/2016
Stifel Nicolaus & Co Inc Cincinnati OH 02/2019 Present
  • 01/2017 → 02/2019
    Ubs Financial Services, Inc.
    Cincinnati, OH
  • 08/2016 → 12/2016
    Brigham Young University
    Provo, UT
  • 08/2016 → 12/2016
    Brigham Young University
    Provo, UT
  • 02/2019 → Present
    Stifel Nicolaus & Co Inc
    Cincinnati, OH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-13
  • S66 Uniform Combined State Law Examination
    2018-01-13
Designations

View on SEC IAPD

Other Firms

QUEEN CITY CAPITAL MANAGEMENT, LLC
OSAIC WEALTH, INC.
BAHL & GAYNOR LLC
BRIXEY & MEYER CAPITAL LLC
OPUS CAPITAL MANAGEMENT
FORMIDABLE ASSET MANAGEMENT, LLC
RC CAPITAL
MORGAN STANLEY

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
MORGAN STANLEY · Cincinnati, OH

More in Cincinnati, OH

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor