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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 2019-09-04
CA RA APPROVED 2017-04-26
  • TX RA
    APPROVED_RES
    Since 2019-09-04
  • CA RA
    APPROVED
    Since 2017-04-26

Branch Locations

31 W. Stuart Avenue Suite 200, Redlands, CA 92374 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Financial Redlands CA 03/2016 Present
  • 03/2016 → Present
    Stifel Financial
    Redlands, CA
Other Businesses

1. Redlands Sunrise Rotary; PO Box 8667, Redlands, CA 92375; Non-profit service organization; Immediate Past President, Board Member; Attend regularly scheduled member meetings, board meetings, and committee meetings; assist with fundraising and community projects.; 07/01/2022; 8 Hours per Month; Not During Securities Trading Hours; Not Investment - Related. 2. Redlands Chamber of Commerce; 47 N 1st St, Redlands, CA 92373; To assist and advocate for businesses in the community to grow and thrive in the city of Redlands and surrounding cities; Board Member / Director; Attend monthly Board meetings, attend Chamber events, help with making decisions and solving issues brought in front of the Board; 05/01/2023; 4 Hours per Month; During Securities Trading Hours; Not Investment-Related. 3. Redlands Community Foundation; PO Box 8908 Redlands CA 92375; The organization facilitates community giving through grants, donor advised funds, stock donations, and annual contributions; Board member; Attend bi-monthly board meetings, serve on a committee, help spread awareness about the benefits of the organization; 08/01/2024; 3 hrs/quarter; not during security trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-26
  • S66 Uniform Combined State Law Examination
    2017-04-26
Other Names
  • Amy Faye James

View on SEC IAPD

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