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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-12-15
IN RA APPROVED 2017-11-01
TX RA APPROVED 2017-11-01
  • FL RA
    APPROVED
    Since 2025-12-15
  • IN RA
    APPROVED
    Since 2017-11-01
  • TX RA
    APPROVED
    Since 2017-11-01

Branch Locations

Treasure Island, FL • United States

8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Carmel IN 03/2010 10/2017
Stifel Nicolaus & Co Inc Indianapolis IN 11/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-11-21
S63 Uniform Securities Agent State Law Examination 1995-09-14
  • S65 Uniform Investment Adviser Law Examination
    1996-11-21
  • S63 Uniform Securities Agent State Law Examination
    1995-09-14

View on SEC IAPD

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