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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_RES 2023-08-02
NJ RA APPROVED 2023-08-01
  • TX RA
    APPROVED_RES
    Since 2023-08-02
  • NJ RA
    APPROVED
    Since 2023-08-01

Branch Locations

15 Commerce Blvd. 275 Rt 10 East, Suite #209, Succasunna, NJ 07876 • United States

Disclosures

2 disclosure categories 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Short Hills NJ 09/2011 11/2016
Wells Fargo Clearing Services, Llc Short Hills NJ 11/2016 08/2023
Stifel, Nicolaus & Company, Incorporated Succasunna NJ 08/2023 Present
Previous Registrations
Other Businesses

1. Beth Figueira for Mount Olive Board of Education Jeannie O'Neill For Mount Olive Board of Education Marc Orzillo for Mount Olive Board of Education; Budd Lake, NJ, 07828; friends running for my children's school district; Volunteer; helping with anything for their efforts running for Board of Education; 08/25/2023; 5 Hours per Week; Not during securities trading hours; Not Investment-Related 2. Theta Zeta Corp; 271 MLK Blvd Newark NJ 07102; Fraternity; Board Member; Help with the house and the brother; 08/04/1993; 2.00hrs/month; Not during securities trading hours; Not Investment-Related 3. Beyond Baptism charitable fund Inc. EIN 27-4268597; 169 Holmes Street Belleville NJ 07109; charity; Vice-Chairman; Board Member; 01/01/2009; 20 hrs/quarter; During Securities Trading Hours; Not Investment-Related 4. Mount Olive Township county Committee person District 17; 204 Flanders-Drakestown Road Budd Lake, NJ 07828; elected position for the Republican party; County Committee member; Foster republican Votes; 06/11/2025; 3hrs/mth; Not during securities trading hours; Not Investment Related 5. Mount Olive Republican Club; 25 woodcrest Ave Budd Lake, NJ 07828; Republican Club; President; what ever is needed with out handling any funds; 01/15/2025; 15hrs/mth; During securities trading hours; Not investment related 6. Mount Olive County Committee; Mount Olive, NJ 07828; in charge of all of the other Mount Olive County Committee members running the 4 annual meetings; Chairperson; 1. Organizing and administering the county committee within there township 2. Communication bylaws and notices 3. Leading township level party governance 4. Managing Candidate vetting and endorsement and vacancy selections 5. Overseeing grassroots and voter engagement activates 6.ensure statutory compliance under title 19 7. Serving as the political and strategic head of the township party these responsibilities combine statutory obligations with the traditional political leadership role expected in New Jersey party system; 03/18/2026; 3hrs/mth; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1998-02-11
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1998-02-11
Designations

View on SEC IAPD

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