Harvey Frank

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2015-09-25

CA RA
APPROVED

Since 2015-09-25

Branch Locations

Murrieta, CA • United States

16870 West Bernardo Drive Suite 150, San Diego, CA 92127 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Rancho Bernardo	CA	08/2015	Present

08/2015 → Present

Stifel Nicolaus & Co Inc

Rancho Bernardo, CA

Previous Registrations

2008-12-10 → 2015-10-23

Hilltop Securities Inc.

San Diego, CA
2004-01-28 → 2008-12-23

M.L. Stern & Co., Llc.

San Diego, CA

San Diego, CA

Other Businesses

I HOLD CURRENT REAL ESTATE LICENSE. I DO NOT DO ANY REAL ESTATE BUSINESS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-03-26

S63 Uniform Securities Agent State Law Examination

1991-03-26

View on SEC IAPD