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Lisa C Lo

Stifel, Nicolaus & Company, Incorporated

Greenwood Village, CO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-01-27
TX RA APPROVED_RES 2022-01-18
  • CO RA
    APPROVED
    Since 2022-01-27
  • TX RA
    APPROVED_RES
    Since 2022-01-18

Branch Locations

6312 S Fiddlers Green Circle Suite 520E, Greenwood Village, CO 80111 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Denver CO 10/2005 01/2022
City National Bank Denver CO 06/2019 01/2022
Stifel Nicolaus & Co Inc Cherry Creek CO 01/2022 Present
  • 10/2005 → 01/2022
    Rbc Capital Markets, Llc
    Denver, CO
  • 06/2019 → 01/2022
    City National Bank
    Denver, CO
  • 01/2022 → Present
    Stifel Nicolaus & Co Inc
    Cherry Creek, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-23
S63 Uniform Securities Agent State Law Examination 2000-06-17
  • S65 Uniform Investment Adviser Law Examination
    2005-08-23
  • S63 Uniform Securities Agent State Law Examination
    2000-06-17
Designations
Other Names
  • Hua Cai

View on SEC IAPD

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