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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2020-06-10
TX RA APPROVED_RES 2020-06-04
  • NC RA
    APPROVED
    Since 2020-06-10
  • TX RA
    APPROVED_RES
    Since 2020-06-04

Branch Locations

1904 Eastwood Road Suite 315, Wilmington, NC 28403 • United States

2005 Eastwood Road Suite 102, Wilmington, NC 28403 • 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
Bank Of America, N.A, Wilmington NC 09/2012 06/2020
Stifel Nicolaus & Co Inc Wilmington NC 06/2020 Present
  • 09/2012 → 06/2020
    Bank Of America, N.A,
    Wilmington, NC
  • 06/2020 → Present
    Stifel Nicolaus & Co Inc
    Wilmington, NC
Previous Registrations
Other Businesses

1. High Tide Cessna,LLC;Southport NC;Own eqptmnt;Mbr;1/1/17;1Hr/Qtr;NtDurSecTrdHrs;InvRel 2. Westfall 36 Acre,LLC; Wilmington NC;Real Est;Mgr;1/1/10;1Hr/Mnth;NtDurSecTrdHrs;InvRel 3. Harborside LLC;Greenville Ave Wilmington NC;Real Est; Mbr;1/1/00;1Hr/Yr;NtDurSecTrdHrs;InvRel 4. RTGC Properties,LLC;Wilmington NC;Real Est;Mgr;1/1/98;1Hr/Qtr;NtDurSecTrdHrs;InvRel 5. TCT of Wilmington, LLC;Wilmington NC;Real Est; Mgr;1/1/97;1Hr/Qtr;NtDurSecTrdHrs;InvRel 6. Renaissance Courtyard LLC;Wilmington NC;Real Est;Mgr;1/1/05;2Hrs/Mnth;NtDurSecTrdHrs; nvRel 7. Renaissance One, LLC;Wilmington NC;Real Est; Mgr;1/1/99;3Hrs/Mnth;NtDurSecTrdHrs;InvRel 8. Autumn Hall 40 Acres, LLC;Wilmington NC; Real Est; Mgr;1/1/10;1Hr/Mnth;NtDurSecTrdHrs;InvRel 9. Beech Baron,LLC;Wilmington NC;Own equipment;Mgr;1/1/05;1Hr/Qtr;NtDurSecTrdHrs;NoInvRel 10. 70 x 57 Hangers,LLC;Wilmington NC;Owns a hanger;Mgr;1/1/16; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 11. TF Holdings GP,LLC;Wilmington NC; Real Est; Mgr;1/1/05;1 Hr/Mnth;NtDurSecTrdHrs;InvRel 12. Renaissance 2,LLC;Wilmington NC;Real Est; Mgr; 1/1/17; 1 Hr/Mnth;NtDurSecTrdHrs;InvRel 13. Novant Building LLC;Wilmington NC;Real Est;Mgr;1/1/10;1Hr/Mnth;NtDurSecTrdHrs;InvRel 14. Dansura,LLC;Wilmington NC;Real Est;Mgr;1/1/10;1Hr/Qtr;NtDurSecTrdHrs;InvRel 15. Thomas Construction Group;Wilmington NC;Construction;CFO; Finance;1/1/05;10 Hrs/Wk;DurSecTrdHrs;NoInvRel 16. Quail Woods Boating Facility;Wilmington NC;Lot with boat ramp and dock;Pres;1/1/14;1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 17. Thomas Equipment,LLC;Wilmington NC; Construction; Mbr; Mgr;12/3/20;1 Hr/Wk;NtDurSecTrdHrs;NoInvRel 18. Thomas Construction LP;Wilmington NC;Construction;Ltd prtnr; Mgr;12/3/20; 5 Hrs/Wk;DurSecTrdHrs; NoInvRel 19. Ammo Dump/Lake + 9,LLC;Wilmington NC; Holding Comp; Mgr;12/21/20; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 20. N1431M, LLC; Southport NC; Owns equipment;Mbr/Mgr;Owner;4/19/21;0 Hrs/Day;NtDurSecTrdHrs;NoInvRel 21. TC Investment Group,LLC;Wilmington NC;Asset holding Comp; Mbr/Mgr; Manage inv; 09/15/2021; 1 Hr/Mnth;NtDurSecTrdHrs;nvRel 22. Autumn Hall Building 3,LLC;Wilmington NC;Real Est;Mgr; Adv;1/20/22;1Hr/Mnth;NtDurSecTrdHrs;InvRel 23. Autumn Hall Building 2, LLC;Wilmington NC;Real Est;Mgr; Adv;1/20/22;1Hr/Mnth;NtDurSecTrdHrs;InvRel 24. Autumn Hall Building 1,LLC;Wilmington NC;Real Est;Mgr; Adv;1/20/22;1Hr/Mnth;NtDurSecTrdHrs;InvRel 25. FPTower Inc;Charloette NC;Hist Pres; Brd Mbr; Adv; 1/3/22;2 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 26. N4457S LLC;Southport, NC;Owns equipmnt; Mbr/Mgr; 8/20/22;1 Hr/Mnth;NtDurSecTrdHrs;NotInvRel 27. Moore Road Property,LLC;Wilmington, NC; timber farm; Mbr/Mgr; 2/1/23; 1 Hr/Qtr;NtDurSecTrdHrs;NoInvRel 28. Autumn Hall Investments,LLC;6401 Quail Run Rd,Wilmington NC;Real Estate;Mgr;1/2/23;1hr/mo;NtDurSecTrdHrs;Inv Rel 29. N531Q, LLC;6401 Quail Run Rd Wilmington, NC;owns equipment;Member/Mgrof LLC;owner;1/18/24;0hrs/day;NtDurSecTrdHrs;NoInvRel 30. TCG Holding Company; 1022 Ashes Dr Wilmington NC;S Corp Holding Company; Mbr/Mgr;3/13/10;0hrs/day;NtDurSecTrdHrs;InvRel 31. TF Holdings LP; 6401 Quail Run Rd Wilmington NC;Real Est holding; gen ptr;6/24/24;NtDurSecTrdHrs;InvRel 32. Thomas/Pinewood, LLC;Wilmington NC;Real Estate;Member/Mgr;6/2/25;1hr/mth; NtDurSecTrdHrs;InvRel 33. AutumnHall CStore LLC;Wilmington NC;Real Estate;Mgr;1/30/26;1hr/qtr; NtDurSecTrdHrs;InvRel 34. Autumn Hall G Store, LLC;Wilmington NC;Real Estate;Mgr;6/1/26;1hr/qtr; NtDurSecTrdHrs;InvRel 35. Autumn Hall Market, LLC;Wilmington NC;Real Estate;Mgr;6/1/26;1hr/qtr; NtDurSecTrdHrs;InvRel 36. Autumn Hall Building 6, LLC;Wilmington NC;Real Estate;Mgr;6/1/26;1hr/qtr; NtDurSecTrdHrs;InvRel 37. KingsGrantParkland;Wilmington NC;Real Estate;Mgr;6/17/26;1hr/yr;NtDurSecTrdHrs;InvRel 38. Autumn Hall, Inc;Wilmington NC;RealEst;Mgr;6/17/26;1hr/yr;NtDurSecTrdHrs;InvRel 39. Trasco Inc;Wilmington NC;RealEst;Pres;6/17/26;1hr/yr;NtDurSecTrdHrs;InvRel 40. Town Financial, LLC;Wilmington NC;RealEst;Mgr;6/17/26;1hr/yr;NtDurSecTrdHrs;InvRel

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-09-13
S63 Uniform Securities Agent State Law Examination 1994-05-25
  • S65 Uniform Investment Adviser Law Examination
    2002-09-13
  • S63 Uniform Securities Agent State Law Examination
    1994-05-25
Other Names
  • Bruce Chappell

View on SEC IAPD

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