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Richard William Penn

Stifel, Nicolaus & Company, Incorporated

Louisville, KY

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-14
KY RA APPROVED 2007-11-16
  • TX RA
    APPROVED_RES
    Since 2020-01-14
  • KY RA
    APPROVED
    Since 2007-11-16

Branch Locations

600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • 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
Self Louisville KY 05/1971 Present
Us Army Reserve - Various Tours Of Duty Louisville KY 05/1971 Present
Stifel, Nicolaus & Co., Inc. Louisville KY 08/2001 Present
  • 05/1971 → Present
    Self
    Louisville, KY
  • 05/1971 → Present
    Us Army Reserve - Various Tours Of Duty
    Louisville, KY
  • 08/2001 → Present
    Stifel, Nicolaus & Co., Inc.
    Louisville, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-15
S63 Uniform Securities Agent State Law Examination 1992-04-16
  • S65 Uniform Investment Adviser Law Examination
    2007-11-15
  • S63 Uniform Securities Agent State Law Examination
    1992-04-16
Other Names
  • Dick Penn

View on SEC IAPD

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