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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 2018-01-02
PA RA APPROVED 2017-12-11
  • TX RA
    APPROVED
    Since 2018-01-02
  • PA RA
    APPROVED
    Since 2017-12-11

Branch Locations

600 Isabel Drive, Lebanon, PA 17042 • 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
M&T Securities Labanon PA 03/2005 12/2017
Stifel Nicolaus & Co Inc Lebanon PA 12/2017 Present
  • 03/2005 → 12/2017
    M&T Securities
    Labanon, PA
  • 12/2017 → Present
    Stifel Nicolaus & Co Inc
    Lebanon, PA
Previous Registrations
  • 2017-01-30 → 2017-12-19
    M&T Securities, Inc.
    York, PA
    Lebanon, PA
    Cheektowaga, NY
    Elizabethtown, PA
    Lancaster, PA
    Lebanon, PA
    Lebanon, PA
    Lancaster, PA
    Lancaster, PA
    Lancaster, PA
    Honey Brook, PA
    Intercourse, PA
    New Holland, PA
    Lebanon, PA
    Reading, PA
    Reading, PA
    Lancaster, PA
    Birdsboro, PA
    Lancaster, PA
    Birdsboro, PA
    Pottstown, PA
    Boyertown, PA
    Lancaster, PA
    Lancaster, PA
Other Businesses

1. Kiwanis Club of Lebanon County; PO Box 394 Lebanon PA 17042; global organization of volunteers dedicated to changing the world one child and one community at a time; Golf Committee Chairperson; coordinator of annual golf tournament; 05/01/2018; 2.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related 2. Pennsylvania Kiwanis Foundation; 2793 Old Post Road Suite 12, Harrisburg, PA 17110; Board Director; 04/01/2018; 3.00 Hour(s) Per Month; not during securities trading hours; Not Investment Related 3. Pennsylvania Kiwanis Foundation; 125 N Enola Drive Ste 206 Enola PA 17025; Non-profit organization providing grants to clubs, communities, student scholarships, and children's programs; Chairman of Finance and Investment committee; quarterly meetings with the committee to review portfolio, working with the Treasurer, communicating with the advisor managing the portfolio; 10/02/2023; 2.00hrs/month; Not during securities trading hours; Not Investment-Related 4. Kiwanis Club of Lebanon; PO Box 394, Lebanon, PA 17042; Non Profit Organization; Board Director; Attend 1 meeting per month; 10/01/2025; 2hrs/mth; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-01-30
S63 Uniform Securities Agent State Law Examination 2005-05-16
  • S65 Uniform Investment Adviser Law Examination
    2017-01-30
  • S63 Uniform Securities Agent State Law Examination
    2005-05-16
Other Names
  • Antonina Amato
  • Sonia Antonina Amato

View on SEC IAPD

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