Patricia Ann Stark

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2014-06-18

IL RA
APPROVED

Since 2014-06-18

Branch Locations

70 West Madison Street Suite 2500, Chicago, IL 60602 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Chicago	IL	06/2014	Present

06/2014 → Present

Stifel Nicolaus & Co Inc

Chicago, IL

Previous Registrations

1999-05-03 → 2014-06-26

Ubs Financial Services Inc.

Chicago, IL

Chicago, IL

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-04-29
S63	Uniform Securities Agent State Law Examination	1991-11-11

S65 Uniform Investment Adviser Law Examination

1999-04-29
S63 Uniform Securities Agent State Law Examination

1991-11-11

Other Names

Patricia Ann Swain
Patricia A Swain

View on SEC IAPD

Employer firm

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Nearby Firms

Nearby Investors

Nearby Offices

Reviews