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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 2021-10-30
MI RA APPROVED 2020-11-16
  • TX RA
    APPROVED
    Since 2021-10-30
  • MI RA
    APPROVED
    Since 2020-11-16

Branch Locations

1865 East M 21, Owosso, MI 48867 • 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 Clearing Services, Llc Flint MI 11/2019 08/2020
Serra Traverse City Traverse City MI 05/2017 08/2019
Northwood University Midland MI 08/2013 05/2017
Stifel Nicolaus & Co Inc Owosso MI 08/2020 Present
  • 11/2019 → 08/2020
    Wells Fargo Clearing Services, Llc
    Flint, MI
  • 05/2017 → 08/2019
    Serra Traverse City
    Traverse City, MI
  • 08/2013 → 05/2017
    Northwood University
    Midland, MI
  • 08/2020 → Present
    Stifel Nicolaus & Co Inc
    Owosso, MI
Other Businesses

1. Owosso Charter Township; 370-446 S Delany Rd, Owosso, MI 48867; Local Municipality; Volunteer Firefighter; Voluntarily attend fires, auto accidents, ambulance calls; 10/11/2021; 20hrs/month; Not During Securities Trading Hours; Not Investment-Related. 2. Shiawassee Goodfellows; 1069 E Main St Owosso MI 48867; The Shiawassee Goodfellows is a non profit organization that raises money to purchase cold weather clothing for children; Board Member; Monthly Board Meetings. Collecting donations; 08/03/2023; 1.00hr/month; Not During Securities Trading Hours; Not Investment-Related 3. Shiawassee Goodfellows; 1069 E Main St Owosso MI 48867; The Shiawassee Goodfellows is a non profit organization that raises money to purchase cold weather clothing for children; Vice President; Monthly Board meetings. Collecting donations. Organization of annual events; 11/11/2024; 3 hrs/month; Not during security trading hours; Not Investment-Related 4. Raise Up Shiawassee; 217 N Washington St Owosso, MI 48867; Raise Up Shiawassee brings local non profits together to help raise awareness about the needs of Shiawassee County; Volunteer / member; Attend meetings, volunteer, committee member; 08/05/2025; 5hrs/mth; Not during securities trading hours; Not Investment Related 5. Owosso Public Schools Foundation; 645 Alger St Owosso MI 48867; Non profit foundation that supplies money to new teachers in the district as well as grants within the district; Board Member; Attend monthly meetings. Discuss ways to support staff and the district. Vote on grants requested by staff members; 09/04/2025; 1 hr/month; During security trading hours; Not Investment-Related 6. Friends of the Shiawassee River; 538 N Shiawassee St Corunna MI 48817; Non Profit advocating for health and education; Board Director; Attend monthly meetings. Organize fundraising events and river clean ups; 09/16/2025; 5 hrs/month; Not during security trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-14
  • S66 Uniform Combined State Law Examination
    2020-11-14
Other Names
  • David Hood

View on SEC IAPD

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