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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 2020-10-15
PA RA APPROVED 2007-07-10
  • TX RA
    APPROVED_RES
    Since 2020-10-15
  • PA RA
    APPROVED
    Since 2007-07-10

Branch Locations

3701 Corporate Parkway Suite 110, Center Valley, PA 18034 • 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 Allentown PA 07/2007 Present
Previous Registrations
  • 2006-11-28 → 2007-07-10
    Ryan Beck & Co.
    Allentown, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-02
S63 Uniform Securities Agent State Law Examination 1995-11-01
  • S65 Uniform Investment Adviser Law Examination
    1996-01-02
  • S63 Uniform Securities Agent State Law Examination
    1995-11-01

View on SEC IAPD

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