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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
KY RA APPROVED 2024-09-23
TX RA APPROVED_RES 2024-09-19
  • KY RA
    APPROVED
    Since 2024-09-23
  • TX RA
    APPROVED_RES
    Since 2024-09-19

Branch Locations

1131 Fairview Ave, Bowling Green, KY 42103 • 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
Last Call Bar & Grill Gallatin TN 02/2015 Present
Avantax Investment Services, Inc. Clarksville TN 04/2020 08/2021
Encompass Financial Services Inc. Clarksville TN 04/2020 03/2021
Avantax Advisory Services Clarksville TN 01/2021 08/2021
Pruco Securities, Llc. Franklin TN 06/2021 06/2022
Prudential Insurance Company Of America Franklin TN 10/2021 06/2022
Cambridge Investment Research, Inc. Fairfield IA 06/2022 12/2023
Cambridge Investment Research Advisors, Inc. Fairfield IA 06/2022 12/2023
Stifel Bowling Green KY 09/2024 Present
  • 02/2015 → Present
    Last Call Bar & Grill
    Gallatin, TN
  • 04/2020 → 08/2021
    Avantax Investment Services, Inc.
    Clarksville, TN
  • 04/2020 → 03/2021
    Encompass Financial Services Inc.
    Clarksville, TN
  • 01/2021 → 08/2021
    Avantax Advisory Services
    Clarksville, TN
  • 06/2021 → 06/2022
    Franklin, TN
  • 10/2021 → 06/2022
    Prudential Insurance Company Of America
    Franklin, TN
  • 06/2022 → 12/2023
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2022 → 12/2023
    Fairfield, IA
  • 09/2024 → Present
    Stifel
    Bowling Green, KY
Previous Registrations
Other Businesses

1. Last Call Bar & Grill; 1184 Long Hollow Pike Gallatin TN 37066; I am a manager and bartender. I work one night a week not during business hours on the weekend; Manager/Bartender; I bartend and handle some management duties one night a week; 10/30/2012; 9 hrs/week; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-19
  • S66 Uniform Combined State Law Examination
    2021-01-19
Other Names
  • Jennifer A Bernard
  • Jennifer Ashley Sanders

View on SEC IAPD

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