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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2015-12-04
TX RA APPROVED_RES 2015-12-04
VA RA APPROVED 2015-12-04
  • DC RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED_RES
    Since 2015-12-04
  • VA RA
    APPROVED
    Since 2015-12-04

Branch Locations

1776 I Street, Washington, DC 20006 • 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
Stifel, Nicolaus & Company, Incorporated Washington DC 12/2015 Present
Previous Registrations
  • 2013-09-09 → 2015-12-04
    Barclays Capital Inc.
    Washington, DC
    New York, NY
  • 2009-06-01 → 2013-09-05
    Washington, DC
  • 2001-08-24 → 2009-06-01
    Washington, DC
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-24
S63 Uniform Securities Agent State Law Examination 1993-12-23
  • S65 Uniform Investment Adviser Law Examination
    2001-07-24
  • S63 Uniform Securities Agent State Law Examination
    1993-12-23

View on SEC IAPD

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