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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2016-08-08
  • MI RA
    APPROVED
    Since 2016-08-08

Branch Locations

1430 Military Street Suite #2, Port Huron, MI 48060 • 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 Port Huron MI 06/2010 Present
  • 06/2010 → Present
    Stifel Nicolaus & Co Inc
    Port Huron, MI
Other Businesses

1. St Clair County Community Foundation; 1411 Third St 4th Floor Port Huron MI 48060; Grant Committee Member; Voting member of local grant committee; affiliation started 02/03/2016; 10 hours per year; not during securities trading hours; not investment-related. 2. Lexington Arts Council; PO Box 434, Lexington, MI 48450; Increase the cultural taste of the Thumb Blue Water community; Board of Directors; Board Member and volunteer with community events; 04/13/2021; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-21
S63 Uniform Securities Agent State Law Examination 1993-03-24
  • S65 Uniform Investment Adviser Law Examination
    2015-05-21
  • S63 Uniform Securities Agent State Law Examination
    1993-03-24
Other Names
  • Steve B Disser
  • Steven B Disser

View on SEC IAPD

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