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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 2025-04-04
  • TX RA
    APPROVED
    Since 2025-04-04

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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
B. Riley Wealth Management Memphis TN 12/2011 04/2025
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 04/2025
Stifel, Nicolaus & Company, Incorporated Dallas TX 04/2025 Present
Previous Registrations
  • 2022-08-25 → 2025-04-07
    Dallas, TX
  • 2011-12-02 → 2022-12-31
    B. Riley Wealth Management
    Dallas, TX
    Memphis, TN
  • 1994-10-27 → 2011-12-13
    Morgan Keegan & Company, Llc
    Dallas, TX
    Dallas, TX
Other Businesses

1. Notary; 13155 Noel Rd, Ste 750 Dallas TX 75240; Notary for clients if necessary; 04/04/2025; 2 hrs/year; during security trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-26
S63 Uniform Securities Agent State Law Examination 1994-09-29
  • S65 Uniform Investment Adviser Law Examination
    2001-01-26
  • S63 Uniform Securities Agent State Law Examination
    1994-09-29

View on SEC IAPD

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