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Kathy Lynn Jimeno

Stifel, Nicolaus & Company, Incorporated

Newport Beach, CA

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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 2021-07-08
  • TX RA
    APPROVED
    Since 2021-07-08

Branch Locations

520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • 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 Advisors Llc Newport Beach CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 07/2021
Stifel Nicolaus & Co Inc Newport Beach CA 07/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Newport Beach, CA
  • 11/2016 → 07/2021
    Wells Fargo Clearing Services, Llc
    Newport Beach, CA
  • 07/2021 → Present
    Stifel Nicolaus & Co Inc
    Newport Beach, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-01-23
  • S63 Uniform Securities Agent State Law Examination
    1992-01-23
Other Names
  • Kathy Lynn Bowman

View on SEC IAPD

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OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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