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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 2021-02-17
PA RA APPROVED 2007-12-04
  • TX RA
    APPROVED_RES
    Since 2021-02-17
  • PA RA
    APPROVED
    Since 2007-12-04

Branch Locations

1001 Liberty Avenue Suite 1100, Pittsburgh, PA 15222 • United States

Mercer, PA • 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 Pittsburgh PA 07/2007 Present
Other Businesses

1. Rental property; 145 S. 18th St, Pittsburgh, PA 15203; Owner; Management & maintenance; 01/01/2007; 40 Hours per Year; Not during securities trading hours; Investment-Related. 2. Rental property; 124 S. 19th St, Pittsburgh, PA 15203; Owner; Management & maintenance; 01/01/2007; 40 Hours per Year; Not during securities trading hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-30
S63 Uniform Securities Agent State Law Examination 1995-09-19
  • S65 Uniform Investment Adviser Law Examination
    2007-11-30
  • S63 Uniform Securities Agent State Law Examination
    1995-09-19

View on SEC IAPD

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