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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_RES 2020-01-15
NJ RA APPROVED 2014-03-27
  • TX RA
    APPROVED_RES
    Since 2020-01-15
  • NJ RA
    APPROVED
    Since 2014-03-27

Branch Locations

433 Hackensack Avenue 8Th Floor, Hackensack, NJ 07601 • 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 & Co Inc Hackensack NJ 03/2014 Present
  • 03/2014 → Present
    Stifel Nicolaus & Co Inc
    Hackensack, NJ
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-01-18
  • S63 Uniform Securities Agent State Law Examination
    1993-01-18

View on SEC IAPD

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