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Steven Jay Hudgins

Stifel, Nicolaus & Company, Incorporated

Roseville, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-06-24
TX RA APPROVED_RES 2021-06-23
  • CA RA
    APPROVED
    Since 2021-06-24
  • TX RA
    APPROVED_RES
    Since 2021-06-23

Branch Locations

1420 Rocky Ridge Drive, Roseville, CA 95661 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Lincoln Hills CA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Lincoln Hills CA 11/2016 06/2021
Stifel Nicolaus & Co Inc Roseville CA 06/2021 Present
  • 09/2010 → 11/2016
    Wells Fargo Advisors Llc
    Lincoln Hills, CA
  • 11/2016 → 06/2021
    Wells Fargo Clearing Services, Llc
    Lincoln Hills, CA
  • 06/2021 → Present
    Stifel Nicolaus & Co Inc
    Roseville, CA
Previous Registrations
  • 2010-09-22 → 2021-06-28
    Wells Fargo Clearing Services, Llc
    Lincoln Hills, CA
  • 2009-06-01 → 2010-09-30
    Morgan Stanley
    Lincoln, CA
    Roseville, CA
  • 2007-09-06 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lincoln, CA
  • 1997-07-08 → 2007-09-11
    A. G. Edwards & Sons, Inc.
    Roseville, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-11
S63 Uniform Securities Agent State Law Examination 1994-02-17
  • S65 Uniform Investment Adviser Law Examination
    2010-10-11
  • S63 Uniform Securities Agent State Law Examination
    1994-02-17

View on SEC IAPD

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