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Christopher Jerome Prassas

Stifel, Nicolaus & Company, Incorporated

Chicago, IL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-12-04
TX RA APPROVED_RES 2015-12-04
  • IL RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED_RES
    Since 2015-12-04

Branch Locations

One North Wacker Suite 3400, Chicago, IL 60606 • 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 Chicago IL 12/2015 Present
Previous Registrations
  • 2013-05-17 → 2015-12-04
    Barclays Capital Inc.
    Chicago, IL
  • 2003-01-17 → 2013-05-28
    Credit Suisse Securities (Usa) Llc
    Chicago, IL
    Chicago, IL
  • 1994-01-27 → 2003-01-17
    Pershing Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-16
S63 Uniform Securities Agent State Law Examination 1992-10-01
  • S65 Uniform Investment Adviser Law Examination
    1998-03-16
  • S63 Uniform Securities Agent State Law Examination
    1992-10-01

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
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PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
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