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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-08-12
  • NC RA
    APPROVED
    Since 2021-08-12

Branch Locations

2933 Sunset Avenue Suite A, Rocky Mount, NC 27804 • 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
Wells Fargo Advisors Llc Rocky Mount NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Rocky Mount NC 11/2016 08/2021
Stifel Nicolaus & Co Inc Rocky Mount NC 08/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Rocky Mount, NC
  • 11/2016 → 08/2021
    Rocky Mount, NC
  • 08/2021 → Present
    Stifel Nicolaus & Co Inc
    Rocky Mount, NC
Previous Registrations
  • 2008-01-01 → 2021-08-16
    Rocky Mount, NC
  • 2005-07-25 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Rocky Mount, NC
    St. Louis, MO
    Rocky Mount, NC
Other Businesses

1. Episcopal Church of the Good Shepherd; 231 N Church St, Rocky Mount, NC 27804; Religious organization; Member of the Building & Grounds Committee; Help oversee the maintenance of the physical facilities of the church; 02/01/2020; 1 Hour per Week; Not during securities trading hours; Not Investment-Related. 2. Downtown Renaissance, Inc; Rocky Mount, NC 27802; Non profit for the purpose of promoting Downtown Rocky Mount NC; Board Member; Participate and help guide the organization to achieve its goals; 11/10/22; 2 hr/mo; Not During Securities Trading Hours; Not Investment Related. 3. Westridge Village Properties, LLC ; 203 Forest Hill Ave Rocky Mount NC 27804; Real Estate; manage family's interest; Meet with other members to oversee the operation of the partnership; 1/1/2008; 4 hours per month; not during securities trading hours; Inv related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-22
  • S66 Uniform Combined State Law Examination
    2005-07-22
Other Names
  • John Marvin Mebane

View on SEC IAPD

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