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Kathy L Ray

Stifel, Nicolaus & Company, Incorporated

Auburn, CA

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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 2020-05-21
CA RA APPROVED 2008-06-05
  • TX RA
    APPROVED_RES
    Since 2020-05-21
  • CA RA
    APPROVED
    Since 2008-06-05

Branch Locations

13640 Bowman Lane, Auburn, CA 95603 • 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 Grass Valley CA 05/2008 Present
  • 05/2008 → Present
    Stifel Nicolaus
    Grass Valley, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-03
  • S66 Uniform Combined State Law Examination
    2006-05-03
Other Names
  • Kathy Lynn Little
  • Kathy Lynn Miller
  • Kathy Lynn Burtnette
  • Kathy Lynn Summers

View on SEC IAPD

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AMERICAN INVESTORS COMPANY · AUBURN, CA
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