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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 2024-03-13
TX RA APPROVED_RES 2023-04-03
IL RA APPROVED 2017-02-10
MI RA APPROVED 2017-02-10
  • FL RA
    APPROVED
    Since 2024-03-13
  • TX RA
    APPROVED_RES
    Since 2023-04-03
  • IL RA
    APPROVED
    Since 2017-02-10
  • MI RA
    APPROVED
    Since 2017-02-10

Branch Locations

Mattawan, MI • United States

10310 Orland Parkway, Suite 104, Orland Park, IL 60467 • 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
Rbc Capital Markets Corporation Orland Park IL 03/2008 02/2017
Stifel Nicolaus & Co Inc St. Joseph MI 02/2017 Present
  • 03/2008 → 02/2017
    Rbc Capital Markets Corporation
    Orland Park, IL
  • 02/2017 → Present
    Stifel Nicolaus & Co Inc
    St. Joseph, MI
Previous Registrations
Other Businesses

1. Personal Farm; 24643 Hemingway Mattawan, MI 49071; Farming; 12/20/2019; 40 Hours per year; Not During Securities Trading Hours; Investment Related. 2. POW Educational Foundation INC; 1360 Point O'Woods Dr Benton Harbor, MI 49022; Foundation for the employees of the Point O'Woods Golf and Country Club; Board Member; Help planning events and fundraisers, set budgets, gain community support; 12/20/2021; 5hrs/mth; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-09
S63 Uniform Securities Agent State Law Examination 1992-06-09
  • S65 Uniform Investment Adviser Law Examination
    1998-04-09
  • S63 Uniform Securities Agent State Law Examination
    1992-06-09

View on SEC IAPD

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