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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 2025-06-16
NY RA APPROVED 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2025-06-16
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • United States

400 Broadhollow Road Suite 401, Melville, NY 11747 • 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 Uniondale NY 07/2007 Present
Previous Registrations
  • 2001-11-14 → 2007-07-10
    Ryan Beck & Co.
    Great Neck, NY
    Uniondale, NY
Other Businesses

1. T2 Asset Group LLC; 230 Duffy Ave, Hicksville, NY 11801; Tactical Training System; Owner; 10/19/2011; 4 hr/mo; Not During Securities Trading Hours; Not Investment Related. 2. Open Ministry; PO Box 122990 San Diego CA 92112; Ministerial Services & Religious duties for Matrimony; Ordained Minister; Performs Marriage Ceremonies; affiliation started 03/11/2016; 0 hours per day; not during securities trading hours; not investment-related. 3. Nassau County Police Department; 1490 Franklin Ave, Mineola, NY 11501; Nassau County Assistant Police Commissioner; A non-paid position that contains discussing the funding of the police foundation; 06/06/2010; 3 Hours per Week; Not during securities trading hours; Not Investment-Related. 4. Clear Star Stables; PO Box 90, Jamaica, NY 11417; Race Horse Owner; 0521/2021; 1 Hour per Week; Not During Securities Trading Hours; Not Investment-Related. 5. The Milana Family Foundation; 600 Broadhollow Rd, Melville, NY 11747; The foundation's mission has been to raise money and awareness for charities that benefit different causes; Board Member; Help organize charity events; 10/03/2022; 2 Hours per Quarter; Not during securities trading hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1996-03-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1996-03-06

View on SEC IAPD

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