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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-03
MI RA APPROVED 2020-11-18
  • TX RA
    APPROVED_RES
    Since 2021-03-03
  • MI RA
    APPROVED
    Since 2020-11-18

Branch Locations

415 Rodd Street Suite 1, Midland, MI 48640 • 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
Wells Fargo Advisors Llc Midland MI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Midland MI 11/2016 11/2020
Stifel Nicolaus & Co Inc Midland MI 11/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Midland, MI
  • 11/2016 → 11/2020
    Midland, MI
  • 11/2020 → Present
    Stifel Nicolaus & Co Inc
    Midland, MI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-20
S63 Uniform Securities Agent State Law Examination 2005-02-25
  • S65 Uniform Investment Adviser Law Examination
    2010-07-20
  • S63 Uniform Securities Agent State Law Examination
    2005-02-25

View on SEC IAPD

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