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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 2023-01-05
TX RA APPROVED 2018-06-28
MN RA APPROVED 2017-10-25
  • FL RA
    APPROVED
    Since 2023-01-05
  • TX RA
    APPROVED
    Since 2018-06-28
  • MN RA
    APPROVED
    Since 2017-10-25

Branch Locations

701 East Lake Street, Wayzata, MN 55391 • United States

Fort Myers, FL • 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 Wayzata MN 07/2008 Present
  • 07/2008 → Present
    Stifel Nicolaus & Co Inc
    Wayzata, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-25
S63 Uniform Securities Agent State Law Examination 1994-01-19
  • S65 Uniform Investment Adviser Law Examination
    2017-10-25
  • S63 Uniform Securities Agent State Law Examination
    1994-01-19
Other Names
  • Rich Crosby

View on SEC IAPD

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