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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-10-07
TX RA APPROVED_RES 2022-10-05
  • GA RA
    APPROVED
    Since 2022-10-07
  • TX RA
    APPROVED_RES
    Since 2022-10-05

Branch Locations

394 Milledge Avenue Suite 106, Athens, GA 30605 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Athens GA 09/2015 10/2022
Stifel, Nicolaus & Company, Incorporated Athens GA 10/2022 Present
Previous Registrations
Other Businesses

1. UGA Terry College of Business; 600 S Lumpkin St, Athens, GA 30605; The Business School at UGA; Emeritus Board Member; Annual meeting with the Dean; 01/01/2022; 4 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Ga Beta SAE Fraternity Campaign Committee; 247 Pulaski St, Athens, GA 30606; Capital Campaign to renovate Historic Home; Campaign Chairman; Organize efforts to get people involved; 7/1/23; 1 hr/wk; Not during securities trading hours; Not Investment Related. 3. Dick Ferguson's Clothing Store; 1059 Baxter St Athens GA 30606; Mens clothing store; Secretary; None day to day, own 33% of the business; 1/19/2023; 4.00hrs/month; Not during securities trading hours; Not Investment-Related 4. Athens Country Club; 2700 Jefferson Rd Athens GA 30606; Country club, golf tennis, dining, pool; Board Member; General governance of the club; 03/26/2024; 4.00hrs/month; Not during securities trading hours; Not Investment-Related 5. GA Beta SAE; 247 Pulaski St Athens, GA 30606; Social Fraternity; Member House Corporation; Advisor; 04/01/2026; 1hr/mth; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-19
S63 Uniform Securities Agent State Law Examination 1994-05-20
  • S65 Uniform Investment Adviser Law Examination
    1999-01-19
  • S63 Uniform Securities Agent State Law Examination
    1994-05-20
Other Names
  • Ed Ferguson

View on SEC IAPD

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