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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-05-02
DC RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
VA RA APPROVED 2015-12-04
  • SC RA
    APPROVED
    Since 2023-05-02
  • DC RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04
  • VA RA
    APPROVED
    Since 2015-12-04

Branch Locations

1776 I Street, Washington, DC 20006 • United States

1002 Landfall Way, Seabrook Island, SC 29455 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Seabrook Island SC 12/2015 Present
Previous Registrations
  • 2011-05-20 → 2015-12-04
    Barclays Capital Inc.
    Washington, DC
    New York, NY
  • 2009-06-01 → 2011-06-01
    Washington, DC
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Washington, DC
  • 1997-10-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Washington, DC
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-11-19
S63 Uniform Securities Agent State Law Examination 1991-09-12
  • S65 Uniform Investment Adviser Law Examination
    1991-11-19
  • S63 Uniform Securities Agent State Law Examination
    1991-09-12
Other Names
  • Doug Robert Bayer

View on SEC IAPD

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