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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 2017-05-18
  • TX RA
    APPROVED
    Since 2017-05-18

Branch Locations

805 Las Cimas Parkway Suite 230, Austin, TX 78746 • United States

500 North Shoreline Suite 603, Corpus Christi, TX 78401 • 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
Raymond James & Associates, Inc. Austin TX 02/2013 01/2017
Stifel Nicolaus & Co Inc Austin TX 01/2017 Present
  • 02/2013 → 01/2017
    Raymond James & Associates, Inc.
    Austin, TX
  • 01/2017 → Present
    Stifel Nicolaus & Co Inc
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-14
S63 Uniform Securities Agent State Law Examination 1999-04-22
  • S66 Uniform Combined State Law Examination
    2017-03-14
  • S63 Uniform Securities Agent State Law Examination
    1999-04-22

View on SEC IAPD

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