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Brad Lee Froman

Stifel, Nicolaus & Company, Incorporated

Indianapolis, IN

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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 2026-03-16
IN RA APPROVED 2016-05-27
  • TX RA
    APPROVED_RES
    Since 2026-03-16
  • IN RA
    APPROVED
    Since 2016-05-27

Branch Locations

8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Indianapolis IN 05/2016 Present
  • 05/2016 → Present
    Stifel Nicolaus & Co Inc
    Indianapolis, IN
Previous Registrations
  • 2008-01-01 → 2016-06-01
    Wells Fargo Clearing Services, Llc
    Indianapolis, IN
    Indianapolis, IN
  • 2005-08-15 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Indianapolis, IN
    St. Louis, MO
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-11
S63 Uniform Securities Agent State Law Examination 1993-02-17
  • S66 Uniform Combined State Law Examination
    2005-08-11
  • S63 Uniform Securities Agent State Law Examination
    1993-02-17

View on SEC IAPD

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