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Kent Douglas Struck

Stifel, Nicolaus & Company, Incorporated

Irvine, CA

CRD 2284035

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2011-04-21
TX RA APPROVED 2011-04-20
  • CA RA
    APPROVED
    Since 2011-04-21
  • TX RA
    APPROVED
    Since 2011-04-20

Branch Locations

400 Spectrum Center Drive, Irvine, CA 92618 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Irvine CA 04/2011 Present
  • 04/2011 → Present
    Stifel Nicolaus & Co Inc
    Irvine, CA
Previous Registrations
  • 2009-06-01 → 2011-05-02
    Morgan Stanley
    Laguna Niguel, CA
    Laguna Niguel, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Laguna Woods, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Laguna Woods, CA
    Laguna Woods, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-11-25
  • S63 Uniform Securities Agent State Law Examination
    1992-11-25

View on SEC IAPD

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