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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-08-30
TX RA APPROVED 2022-08-30
  • MN RA
    APPROVED
    Since 2022-08-30
  • TX RA
    APPROVED
    Since 2022-08-30

Branch Locations

701 East Lake Street, Wayzata, MN 55391 • 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
Wells Fargo Advisors Llc Minnetonka MN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Minnetonka MN 11/2016 08/2022
Stifel, Nicolaus & Company, Incorporated Golden Valley MN 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-28
S63 Uniform Securities Agent State Law Examination 1994-06-13
  • S65 Uniform Investment Adviser Law Examination
    2022-03-28
  • S63 Uniform Securities Agent State Law Examination
    1994-06-13
Other Names
  • Jon B. Hess

View on SEC IAPD

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