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Robert Lee Woosley

Stifel, Nicolaus & Company, Incorporated

Louisville, KY

Cape Coral, FL

CRD 2343887

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-01-05
KY RA APPROVED 2006-01-12
  • FL RA
    APPROVED
    Since 2021-01-05
  • KY RA
    APPROVED
    Since 2006-01-12

Branch Locations

600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • United States

Cape Coral, FL • 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 & Company, Incorporated Louisville KY 07/1994 Present
Other Businesses

TREASURER OF THE OPTIMIST CLUB OF LOUISVILLE. 5 HRS/MONTH DURING BUSINESS, 1 HR/MONTH DURING NON-BUSINESS HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1993-06-17
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1993-06-17
Other Names
  • Robert Lee Woosley
  • Robert L Woosley

View on SEC IAPD

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