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Eric Shawn Richter

Stifel, Nicolaus & Company, Incorporated

Garden City, NY

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-26
TX RA APPROVED_RES 2018-01-31
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2018-01-31

Branch Locations

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • 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 Uniondale NY 07/2007 Present
Other Businesses

1. The Chemotherapy Foundation; 183 Madison Avenue, Suite 403, New York, NY 10016; Fund raising for cancer research; Trustee; Fund raising; 01/01/2008; 2hrs/week; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-09
S63 Uniform Securities Agent State Law Examination 1995-09-05
  • S65 Uniform Investment Adviser Law Examination
    2007-11-09
  • S63 Uniform Securities Agent State Law Examination
    1995-09-05

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
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