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James Anthony Behrendt

Stifel, Nicolaus & Company, Incorporated

Bismarck, ND

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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 2018-06-01
ND RA APPROVED 2009-09-11
  • TX RA
    APPROVED_RES
    Since 2018-06-01
  • ND RA
    APPROVED
    Since 2009-09-11

Branch Locations

1400 West Century Avenue P.O.B 1238, 58502-9955, Bismarck, ND 58503 • 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
Piper Jaffray Inc. Bismarck ND 02/1994 Present
Ubs Financial Services Inc. Bismarck ND 08/2006 Present
Stifel, Nicolaus & Company, Incorporated Bismarck ND 09/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-22
S63 Uniform Securities Agent State Law Examination 1994-04-25
  • S65 Uniform Investment Adviser Law Examination
    1994-06-22
  • S63 Uniform Securities Agent State Law Examination
    1994-04-25
Other Names
  • James Behrendt

View on SEC IAPD

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