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James Patrick Carps

Stifel, Nicolaus & Company, Incorporated

Fairlawn, OH

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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 2013-09-30
OH RA APPROVED 2013-03-12
  • TX RA
    APPROVED
    Since 2013-09-30
  • OH RA
    APPROVED
    Since 2013-03-12

Branch Locations

3600 Embassy Parkway Suite 200, Fairlawn, OH 44333 • 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 Medina OH 03/2013 Present
  • 03/2013 → Present
    Stifel Nicolaus & Co Inc
    Medina, OH
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-07
S63 Uniform Securities Agent State Law Examination 1994-07-07
  • S65 Uniform Investment Adviser Law Examination
    2011-11-07
  • S63 Uniform Securities Agent State Law Examination
    1994-07-07
Other Names
  • James Patrick Carps

View on SEC IAPD

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PFS INVESTMENTS INC. · FAIRLAWN, OH
TCM WEALTH ADVISORS · FAIRLAWN, OH
CETERA INVESTMENT ADVISERS LLC · FAIRLAWN, OH
PNC WEALTH MANAGEMENT LLC · FAIRLAWN, OH
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