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David Howard Blaugh

Stifel, Nicolaus & Company, Incorporated

Chico, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-08-14
  • CA RA
    APPROVED
    Since 2009-08-14

Branch Locations

901 Bruce Road, Chico, CA 95928 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Chico CA 08/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-08-10
S65 Uniform Investment Adviser Law Examination 1992-08-10
  • S63 Uniform Securities Agent State Law Examination
    1992-08-10
  • S65 Uniform Investment Adviser Law Examination
    1992-08-10
Other Names
  • David H Blaugh

View on SEC IAPD

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