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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-09-14
TX RA APPROVED 2021-09-13
  • FL RA
    APPROVED
    Since 2021-09-14
  • TX RA
    APPROVED
    Since 2021-09-13

Branch Locations

12800 University Drive Suite 300, Fort Myers, FL 33907 • 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
Ubs Financial Services Inc Fort Meyers FL 12/2008 09/2021
Stifel Nicolaus & Co Inc Fory Myers FL 09/2021 Present
Previous Registrations
  • 2008-12-16 → 2021-09-22
    Fort Myers, FL
  • 2007-04-02 → 2008-12-05
    Morgan Stanley & Co. Llc
    Ft. Myers, FL
  • 1993-07-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ft. Myers, FL
    Ft. Myers, FL
Other Businesses

1. Scoggins Family Wyoming, LLC; 12601 Mastique Beach Blvd Fort Meyers, FL 33908; Protect assets; Manager and member; Beneficial owner; 1/17/2022; 2 Hours per Year; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1993-08-16
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1993-08-16

View on SEC IAPD

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