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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 2021-11-29
MN RA APPROVED 2017-09-22
  • TX RA
    APPROVED_RES
    Since 2021-11-29
  • MN RA
    APPROVED
    Since 2017-09-22

Branch Locations

701 East Lake Street, Wayzata, MN 55391 • 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 Golden Valley MN 12/2006 Present
Other Businesses

1. RS Properties; 18025 Turnberry Circle, Minnetonka, MN 55345; Rental Property; Owner; 05/21/2015; 5 Hours per Year; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-21
S63 Uniform Securities Agent State Law Examination 1992-06-19
  • S66 Uniform Combined State Law Examination
    2017-09-21
  • S63 Uniform Securities Agent State Law Examination
    1992-06-19
Other Names
  • Rob Sorley
  • Robert Sorley

View on SEC IAPD

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