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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2019-07-10
MI RA APPROVED 2019-03-21
TX RA APPROVED_RES 2019-03-21
  • MD RA
    APPROVED
    Since 2019-07-10
  • MI RA
    APPROVED
    Since 2019-03-21
  • TX RA
    APPROVED_RES
    Since 2019-03-21

Branch Locations

Atrium One, 900 Victors Way, Suite 150, Ann Arbor, MI 48108 • United States

130 Greene Street, Cumberland, MD 21502 • United States

Ann Arbor, MI • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Cumberland MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Cumberland MD 11/2016 03/2019
Stifel Nicolaus & Co Inc Ann Arbor MI 03/2019 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Cumberland, MD
  • 11/2016 → 03/2019
    Cumberland, MD
  • 03/2019 → Present
    Stifel Nicolaus & Co Inc
    Ann Arbor, MI
Previous Registrations
Other Businesses

1. Mott and Voigtlander Advisory Council; 1540 E Hospital Dr, Ann Arbor, MI 48109; Advisory Council for Children's Hospital; Event planning; 02/01/2020; 24 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-25
  • S66 Uniform Combined State Law Examination
    2007-05-25
Other Names
  • Robert Henry

View on SEC IAPD

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