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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-05-16
  • FL RA
    APPROVED
    Since 2023-05-16

Branch Locations

12800 University Drive Suite 300, Fort Myers, FL 33907 • 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 & Co Inc Roxbury NJ 04/2015 Present
  • 04/2015 → Present
    Stifel Nicolaus & Co Inc
    Roxbury, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-30
S63 Uniform Securities Agent State Law Examination 1994-01-03
  • S66 Uniform Combined State Law Examination
    2000-08-30
  • S63 Uniform Securities Agent State Law Examination
    1994-01-03

View on SEC IAPD

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