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Robert J Smith

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 2022-03-14
  • MO RA
    APPROVED
    Since 2022-03-14

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 St. Louis MO 08/2015 06/2021
Wells Fargo Clearing Services St Louis MO 06/2021 03/2022
Stifel Nicolaus & Co Inc St. Louis MO 03/2022 Present
  • 08/2015 → 06/2021
    Stifel
    St. Louis, MO
  • 06/2021 → 03/2022
    Wells Fargo Clearing Services
    St Louis, MO
  • 03/2022 → Present
    Stifel Nicolaus & Co Inc
    St. Louis, MO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-27
S63 Uniform Securities Agent State Law Examination 2018-04-14
  • S65 Uniform Investment Adviser Law Examination
    2019-04-27
  • S63 Uniform Securities Agent State Law Examination
    2018-04-14
Other Names
  • Robert Joseph Smith
  • Robert J Smith

View on SEC IAPD

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