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Joseph Anthony Lauer

Stifel, Nicolaus & Company, Incorporated

Crown Point, IN

CRD 7435357

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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
TX RA APPROVED 2021-12-23
IN RA APPROVED 2021-12-06
  • TX RA
    APPROVED
    Since 2021-12-23
  • IN RA
    APPROVED
    Since 2021-12-06

Branch Locations

10550 Broadway, Crown Point, IN 46307 • 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
The Northern Trust Chicago IL 12/2003 09/2021
Stifel, Nicolaus & Company, Incorporated Chicago IL 09/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-03
  • S66 Uniform Combined State Law Examination
    2021-12-03
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

BENJAMIN F. EDWARDS & COMPANY, INC.
LPL FINANCIAL LLC
EDWARD JONES

Nearby Investors

SHAWN ALLEN SABAU
CINDY ANN REILLY
KENT ROBERT HUNTOON

Nearby Offices

BENJAMIN F. EDWARDS & COMPANY, INC. · Crown Point, IN
LPL FINANCIAL LLC · CROWN POINT, IN
EDWARD JONES · Crown Point, IN

More in Crown Point, IN

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