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Leslie Ann Shaw

Stifel, Nicolaus & Company, Incorporated

Sandy, UT

Indianapolis, IN

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2024-06-21
IN RA APPROVED 2017-02-28
  • UT RA
    APPROVED
    Since 2024-06-21
  • IN RA
    APPROVED
    Since 2017-02-28

Branch Locations

Sandy, UT • United States

600 East 96Th Street, Suite 575, Indianapolis, IN 46240 • 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
City Securities Corporation Indianapolia IN 08/2010 02/2017
Stifel, Nicolaus & Company, Incorporated Indianapolis IN 02/2017 Present
Previous Registrations
  • 2011-03-29 → 2017-02-28
    City Securities Corporation
    Indianapolis, IN
  • 2002-07-30 → 2003-03-28
    Natcity Investments, Inc.
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-28
S65 Uniform Investment Adviser Law Examination 2000-07-31
S63 Uniform Securities Agent State Law Examination 1994-08-01
  • S66 Uniform Combined State Law Examination
    2011-03-28
  • S65 Uniform Investment Adviser Law Examination
    2000-07-31
  • S63 Uniform Securities Agent State Law Examination
    1994-08-01
Other Names
  • Leslie Armstrong
  • Leslie Ann Armstrong
  • Leslie A Armstrong
  • Leslie Shaw

View on SEC IAPD

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