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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 2022-06-16
MI RA APPROVED 2022-06-14
  • TX RA
    APPROVED_RES
    Since 2022-06-16
  • MI RA
    APPROVED
    Since 2022-06-14

Branch Locations

321 East 2Nd Street 1St & 2Nd Floor, Rochester, MI 48307 • 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
J.P. Morgan Securities Llc Bloomfield Hills MI 10/2012 06/2022
Stifel, Nicolaus & Company, Incorporated Rochester MI 06/2022 Present
Previous Registrations
  • 2012-10-01 → 2022-07-14
    Waterford, MI
    Clarkston, MI
    Huntington Woods, MI
    Rochester Hills, MI
    Rochester, MI
    Commerce Twp, MI
    Commerce Township, MI
    West Bloomfield, MI
    Bloomfield Hills, MI
    Birmingham, MI
    Bloomfield Hills, MI
    Bloomfield Hills, MI
    Bloomfield Hills, MI
    Bloomfield Hills, MI
    Orchard Lake, MI
    Birmingham, MI
    Troy, MI
    Warren, MI
    Detroit, MI
    Detroit, MI
    Auburn Hills, MI
    Orion Township, MI
    Redford, MI
    Rochester Hills, MI
    Livonia, MI
    Troy, MI
    Auburn Hills, MI
    Harper Woods, MI
    Rochester Hills, MI
    Warren, MI
    Auburn Hills, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Dearborn, MI
    Detroit, MI
    Rochester, MI
    Troy, MI
    Detroit, MI
    Southfield, MI
    Detroit, MI
    Rochester, MI
    Detroit, MI
    Detroit, MI
    Madison Heights, MI
    Farmington Hills, MI
    Detroit, MI
    Huntington Woods, MI
    Detroit, MI
    Dearborn, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Southfield, MI
    Detroit, MI
    Warren, MI
    Detroit, MI
    Royal Oak, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Lathrup Village, MI
    Farmington Hills, MI
    Detroit, MI
    Farmington Hills, MI
    Troy, MI
    Auburn Hills, MI
    Detroit, MI
    Troy, MI
    Rochester Hills, MI
    Rochester, MI
    Rochester, MI
  • 2014-10-27 → 2014-11-03
    Birmingham, MI
  • 2010-04-23 → 2012-10-01
    Chase Investment Services Corp.
    Huntington Woods, MI
    Walled Lake, MI
    Rochester, MI
    Sterling Heights, MI
    Troy, MI
    Madison Heights, MI
    Comerce Twp, MI
    Auburn Hills, MI
    Northville, MI
    Rochester Hills, MI
    Auburn Hills, MI
    Troy, MI
    Sterling Heights, MI
    Rochester, MI
    Rochester Hills, MI
    Rochester Hills, MI
    Washington Twp, MI
    Troy, MI
    Detroit, MI
    Southfield, MI
    Detroit, MI
    Auburn Hills, MI
    Clarkston, MI
    Waterford, MI
    Rochester Hills, MI
    Birmingham, MI
    Detroit, MI
    Harper Woods, MI
    Detroit, MI
    Troy, MI
    Orchard Lake, MI
    Bloomfield Hills, MI
    Detroit, MI
    Detroit, MI
    Farmington Hills, MI
    Detroit, MI
    Bloomfield Hills, MI
    Bloomfield Hills, MI
    Bloomfield Hills, MI
    Detroit, MI
    Birmingham, MI
    Farmington Hills, MI
    Southfield, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Bloomfield Hills, MI
    West Bloomfield, MI
    Troy, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
    Detroit, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-16
S63 Uniform Securities Agent State Law Examination 1998-12-09
  • S65 Uniform Investment Adviser Law Examination
    1998-12-16
  • S63 Uniform Securities Agent State Law Examination
    1998-12-09
Other Names
  • David Mark Anderson

View on SEC IAPD

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