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Shannon Marie Seaders

Stifel, Nicolaus & Company, Incorporated

Cumberland, MD

CRD 6688517

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-11-20
  • MD RA
    APPROVED
    Since 2023-11-20

Branch Locations

130 Greene Street, Cumberland, MD 21502 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus Cumberland MD 07/2016 Present
  • 07/2016 → Present
    Stifel Nicolaus
    Cumberland, MD
Other Businesses

Samadhi; 35 Blackiston Ave Cumberland MD 21502; Yoga and candlemaking; owner; yoga instructor and candle maker; 10/3/2016; 5 hours per Week; not during securities trading hours; Not Inv Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-14
  • S66 Uniform Combined State Law Examination
    2023-11-14

View on SEC IAPD

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