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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-03-02
TX RA APPROVED 2026-03-02
  • CT RA
    APPROVED
    Since 2026-03-02
  • TX RA
    APPROVED
    Since 2026-03-02

Branch Locations

804 Main Street Suite B, Osterville, MA 02655 • 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
Ameriprise Financial Services, Inc. Osterville MA 08/2015 03/2020
Ameriprise Financial Services, Llc Osterville MA 03/2020 03/2026
Stifel Osterville MA 03/2026 Present
  • 08/2015 → 03/2020
    Ameriprise Financial Services, Inc.
    Osterville, MA
  • 03/2020 → 03/2026
    Osterville, MA
  • 03/2026 → Present
    Stifel
    Osterville, MA
Previous Registrations
  • 2015-08-17 → 2026-03-05
    Osterville, MA
    East Sandwich, MA
  • 2011-10-27 → 2015-08-14
    Jhs Capital Advisors, Llc
    Osterville, MA
    Tampa, FL
    Summit, NJ
    Tampa, FL
  • 2009-10-23 → 2011-10-27
    Osterville, MA
  • 2006-02-01 → 2009-10-07
    Cetera Investment Services Llc
    Osterville, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-19
S65 Uniform Investment Adviser Law Examination 1993-02-26
S63 Uniform Securities Agent State Law Examination 1993-02-11
  • S66 Uniform Combined State Law Examination
    2005-12-19
  • S65 Uniform Investment Adviser Law Examination
    1993-02-26
  • S63 Uniform Securities Agent State Law Examination
    1993-02-11

View on SEC IAPD

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