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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 2023-05-01
NJ RA APPROVED 2023-04-28
  • TX RA
    APPROVED_RES
    Since 2023-05-01
  • NJ RA
    APPROVED
    Since 2023-04-28

Branch Locations

30 Washington Avenue Suite C-1, Haddonfield, NJ 08033 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Springfield PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Springfield PA 11/2016 04/2023
Stifel, Nicolaus & Company, Incorporated Haddonfield NJ 04/2023 Present
Previous Registrations
  • 2008-11-12 → 2023-05-10
    Haddon Township, NJ
    Moorestown, NJ
    Springfield, PA
    Wayne, PA
    Allentown, PA
    Willingboro, NJ
    Delran, NJ
    Cherry Hill, NJ
    Marlton, NJ
    Moorestown, NJ
    Mount Laurel, NJ
  • 2007-06-05 → 2008-11-10
    Marlton, NJ
  • 2006-10-27 → 2007-06-05
    Ryan Beck & Co.
    Cherry Hill, NJ
    Marlton, NJ
    Cherry Hill, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-26
S63 Uniform Securities Agent State Law Examination 1990-02-15
  • S66 Uniform Combined State Law Examination
    2006-10-26
  • S63 Uniform Securities Agent State Law Examination
    1990-02-15

View on SEC IAPD

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