Best Investors Account Sign in
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-23
TX RA APPROVED_RES 2009-12-21
  • MN RA
    APPROVED
    Since 2013-12-23
  • TX RA
    APPROVED_RES
    Since 2009-12-21

Branch Locations

3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • 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 & Company, Incorporated Rochester MN 10/2009 Present
Previous Registrations
Other Businesses

1. Moseley Properties LLC; 738 Zumbro Oaks LN NW, Oronoco, MN 55960; Rental properties; Owner; Property management; 04/01/2004; 4 Hours per Month; Not during securities trading hours; Investment-Related. 2. Zumbro Hill LLC; 738 Zumbro Oaks LN NW Oronoco MN 55960; recreational land that is used for hunting, tending bee hives, and hay; co-owner; Take care of bills that come through maintaining property; 02/06/2013; 4.00hrs/quarter; Not during securities trading hours; Not Investment-Related. 3. SunnySide Ranch LLC; 21229 212th St, Preston, MN 559645; direct meat sales from family farm; member; no day to day operations, help on weekends; 06/04/2024; 10 hrs/month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-26
  • S66 Uniform Combined State Law Examination
    2005-11-26
Other Names
  • Michael Carter Van Straaten

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Rochester, MN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor