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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 2020-01-28
IN RA APPROVED 2013-06-21
  • TX RA
    APPROVED_RES
    Since 2020-01-28
  • IN RA
    APPROVED
    Since 2013-06-21

Branch Locations

200 Nibco Parkway Suite 300, Elkhart, IN 46516 • 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 Elkhart IN 06/2013 Present
  • 06/2013 → Present
    Stifel Nicolaus & Co Inc
    Elkhart, IN
Previous Registrations
Other Businesses

1. PHOTO-OPS LLC; CREATE PHOTO BOOKS; OWNER; VERY LITTLE; OVERSIGHT IF A PROJECT ARISES; 12/1/08; 10 HRS/QTR; NOT DURING SEC TRADING HRS. NoInvRel 2.CURRENT CAFE AND CREATIONS DBA ON THE RIVER; RETAIL GIFTS, REAL ESTATE PROJECTS; OWNER; GEN MGMT; 8/9/10; 10 HRS/MO; NOT DURING SEC TRADING HRS. NoInvRel 3. UNIVESITY OF NOTRE DAME SHAKESPEARE IN /FORMANCE; BOARD MEMBER; ADISORY TO /FORMANCE INITIATIVE; 10 HRS/ QTR; NOT DURING SEC TRADING HR. NoInvRel 4. BORGER DESTINATIONS LLC; ELKHART IN 46516; REAL ESTATE INVS; MANAGING PARTNER; MGMT; 11/7/17 5 HRS/ YR; NOT DURING SEC TRADING HRS; INV REL 5. Non-Family Trustee 6. Borger Pletcher, S-Corp; Elkhart IN 46516; Landholdings; Owner; 11/07/17; 5.00 Hrs/Mo; not during sec trading hrs; InvRel 7. The Borger Group, LLC; Pkwy Elkhart IN 46516; Holding Company; Managing Partner; Mgmt; 11/07/17; 5.00 Hrs/Yr; not during sec trading hrs; InvRel 8. The Pointe, LLC; Elkhart IN 46516; subdivision; Managing Partner; Mgmt; 11/07/17; 5.00 Hrs/MO; not during sec trading hrs; InvRel 9. Bay Ridge Corp; Elkhart IN 46516; subdivision; Owner; 11/07/17; 5.00 Hrs/Yr; not during sec trading hrs; InvRel 10. Borger Associates; Elkhart IN 46516; Construction, property mgmt; Owner; 11/07/17; 5.00 Hrs/Mo; not during sec trading hrs; InvRel 11. Naquin Family Florida Land Trust LLP; Elkhart, IN. 46514; Real Estate; Limited Partner; 01/01/76; 3.00 Hrs / Yr; Not during sec trading hrs; Invrel 12. PEO; Elkhart, IN 46514; Vice President - follow the agenda of the meeting in presidents absence; 01/01/93; 6.00 Hrs/Yr - not during sec trading hrs; NoInvRel 14. Icon Holdings, LLC; Elkhart, IN 46516; Own and develop property; Sole Member/President; Mgmt and operations for property purchases, leases, and sales; 02/28/22; 5 Hrs / Mo; Not During Sec Trading Hrs; InvRel. 15. Elkhart Parks Foundation; Elkhart, IN 46516; Foundation to support the parks for Elkhart county; Board Member; Voting on parks projects, fundraising; 03/01/22; 5 Hrs/Mo; Not During Sec Trading Hrs; NoInvRel 16. Toradze International Music Festival; Tblisi, OT, Georgia; Classical Piano music Celebrating a renown pianist who lived in South Bend Indiana but was from the country of Georgia; Brd memb of the Fest; To attend the fest in Tblisi Georgia; 03/22/23; 5 Hrs /Yr; Not During Sec Trading Hrs; NoInvRel 17. Women's Care Center; Elkhart IN 46516; Brd of Dir; Fundraising and Plan; 4/3/23; 4 hrs/mo; during sec trading hrs; NoInvRel 18. Riverwalk Commons LLC; Elkhart IN 46516; Sngl Build Dev and Rent; 1/3 owner; vote for all fin decisions; 11/07/17; 2 hrs/qtr; not during sec trading hrs; InvRel 19. Casbor LLC; Elkhart IN 46516; Single Building Dev and Rental; Co-Owner; 11/07/17; 5hrs/Mo; not during sec trading hrs; Inv rel 20. Elkhart Park Foun; Elkhart IN 46516; Foundation to support the parks for Elkhart County; Pres of the brd of dir; Vote on park proj, fundraising; 03/01/2022; 5.00hrs/mo; Not dring sec trding hrs; NoInvRel 21. Mid-City Supply Co, Inc; Elkhart, IN; Industrial supply, HVAC, Plumbing; Board of Advisors; Attend quarterly meetings, read financial reports and provide feedback. Mentor leadership team; 01/01/25; 4 hr/qtr; Not dring sec trding hrs; NoInvRel 22. Women's Care Center; 360 N ND Ave S Bend IN 46624; Support pregnant women; Brd Mem; Govern; 04/01/25; 5hrs/mo; Nt dring sec trading hrs; NoInvRel 23. Women's Care Center; 360 N ND Ave S Bend IN 46624; N-Prof Fndraisng Women's Care Center; Brd mem; 09/01/2025; 5hrs/mth; Not dring sec trding hrs; NoInvRel 24. Holy Cross; 54515 SR 933 North Notre Dame, IN 46556; Education; Vice-Chair; Strategic Planning, Governance; 05/15/2025; 5hrs/mth; Not dring sec trding hrs; NoInvRel

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-05-21
S63 Uniform Securities Agent State Law Examination 1993-04-30
  • S65 Uniform Investment Adviser Law Examination
    1993-05-21
  • S63 Uniform Securities Agent State Law Examination
    1993-04-30
Other Names
  • Elizabeth Anne Naquin
  • Elizabeth Anne Naquinborger

View on SEC IAPD

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