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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 2023-05-16
AL RA APPROVED 2021-01-11
  • TX RA
    APPROVED_RES
    Since 2023-05-16
  • AL RA
    APPROVED
    Since 2021-01-11

Branch Locations

2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117 • 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
Unemployed Montgomery AL 04/2019 02/2020
Real Estate Collateral, Llc Montgomery AL 03/2013 04/2019
First Command Financial Planning, Inc. Fort Worth TX 02/2020 10/2020
First Command Advisory Services, Inc. Fort Worth TX 02/2020 10/2020
First Command Insurance Services, Inc. Fort Worth TX 02/2020 10/2020
Stifel Nicolaus & Co Inc Montgomery AL 01/2021 Present
  • 04/2019 → 02/2020
    Unemployed
    Montgomery, AL
  • 03/2013 → 04/2019
    Real Estate Collateral, Llc
    Montgomery, AL
  • 02/2020 → 10/2020
    First Command Financial Planning, Inc.
    Fort Worth, TX
  • 02/2020 → 10/2020
    First Command Advisory Services, Inc.
    Fort Worth, TX
  • 02/2020 → 10/2020
    First Command Insurance Services, Inc.
    Fort Worth, TX
  • 01/2021 → Present
    Stifel Nicolaus & Co Inc
    Montgomery, AL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-15
  • S66 Uniform Combined State Law Examination
    2020-01-15

View on SEC IAPD

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