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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 2020-05-21
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2020-05-21

Branch Locations

122 State Street, First Floor, Binghamton, NY 13901 • 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
Stifel Nicolaus & Co, Inc. Binghamton NY 10/2006 Present
  • 10/2006 → Present
    Stifel Nicolaus & Co, Inc.
    Binghamton, NY
Other Businesses

1. Notary Public; 760 Dunbar Rd Windsor NY 13865; Notarize documents for clients; 11/20/2006; 1 hr/week; During security trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-24
  • S66 Uniform Combined State Law Examination
    2007-09-24
Other Names
  • Lisa Rose Derrick
  • Lisa Rose Anderson
  • Lisa R Derrick

View on SEC IAPD

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