George Charter Harrison

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-08-19
WA	RA	APPROVED	2019-03-12
FL	RA	APPROVED	2019-02-15

TX RA
APPROVED_RES

Since 2021-08-19
WA RA
APPROVED

Since 2019-03-12
FL RA
APPROVED

Since 2019-02-15

Branch Locations

Bellevue, WA • United States

10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • 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

Organization	City	State	From	To
Robert W. Baird & Co. Incorporated	Seattle	WA	11/2014	02/2019
Stifel Nicolaus & Co Inc	Bellevue	WA	02/2019	Present

11/2014 → 02/2019

Robert W. Baird & Co. Incorporated

Seattle, WA
02/2019 → Present

Stifel Nicolaus & Co Inc

Bellevue, WA

Previous Registrations

2014-11-07 → 2019-03-11

Robert W. Baird & Co. Incorporated

Seattle, WA
2003-05-23 → 2014-11-07

Mcadams Wright Ragen, Inc.

Seattle, WA

Seattle, WA
2002-06-24 → 2003-05-15

Wells Fargo Investments, Llc

Seattle, WA

Other Businesses

1. Rental Property; 40880 N 107th Pl, Scottsdale, AZ 85262; Owner; 08/24/2020; 5 Hours per Month; Not During Securities Trading Hour; Investment-Related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-31
S63	Uniform Securities Agent State Law Examination	1994-02-14

S65 Uniform Investment Adviser Law Examination

2001-08-31
S63 Uniform Securities Agent State Law Examination

1994-02-14

Other Names

George Charter Harrison
Charter Harrison

View on SEC IAPD