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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 2023-02-23
TN RA APPROVED 2012-06-07
  • TX RA
    APPROVED_RES
    Since 2023-02-23
  • TN RA
    APPROVED
    Since 2012-06-07

Branch Locations

1319 Sunset Drive Suite 201, Johnson City, TN 37604 • 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
Stifel, Nicolaus & Company, Incorporated Johnson City TN 06/2012 Present
Previous Registrations
  • 2006-05-02 → 2012-06-08
    Truist Investment Services, Inc.
    Kingsport, TN
    Johnson City, TN
    Johnson City, TN
    Johnson City, TN
    Kingsport, TN
    Johnson City, TN
  • 2003-07-16 → 2006-04-06
    Johnson City, TN
Other Businesses

1. University of Tennessee Washington County Alumni Chapter Board; Alumni Board (Alumni activities); Board Member; coordinates alumni activities in the Tri-City area, Fundraising for the University of Tennessee; affiliation started 03/01/2017; 2.0 hours per week; during securities trading hours; not investment-related. 2. East Tennessee State University College of Business and Technology Dean's Executive Council; 210 Sam Wilson Hall, Johnson City, TN 37604; A council to the Dean of ETSU's Business College; Council Member; Meet to discuss how the local community and ETSU can work together to prepare ETSU Business Graduates to work in our community; 04/03/2023; 10 Hours per Year; During securities trading hours; Not Investment-Related. 3. Southern Appalachian Ronald McDonald House Charities, INC (SARMHC); 418 N. State of Franklin Rd Johnson City TN 37604; Southern Appalachian Ronald McDonald House Charities, Inc. https://www.rmsha.org Providing a "temporary" home away from home for children and families of seriously ill children receiving medical care; Board Member. Serve on the advisory board to the executive director; To meet monthly to collaborate with other board members to provide insight and leadership to meet SARMHC's goal of helping families be together in times of medical need; 01/01/2025; 3 hrs/month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-11-15
S63 Uniform Securities Agent State Law Examination 1990-02-02
  • S65 Uniform Investment Adviser Law Examination
    1991-11-15
  • S63 Uniform Securities Agent State Law Examination
    1990-02-02
Other Names
  • Jeff Anderson

View on SEC IAPD

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