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Lori Ann Riffle

Stifel, Nicolaus & Company, Incorporated

Roseville, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-06-19
TX RA APPROVED 2015-06-18
  • CA RA
    APPROVED
    Since 2015-06-19
  • TX RA
    APPROVED
    Since 2015-06-18

Branch Locations

1420 Rocky Ridge Drive, Roseville, CA 95661 • 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 & Co Inc Roseville CA 06/2015 Present
  • 06/2015 → Present
    Stifel Nicolaus & Co Inc
    Roseville, CA
Previous Registrations
  • 2009-06-01 → 2015-07-13
    Morgan Stanley
    Roseville, CA
  • 2007-12-10 → 2009-06-01
    Morgan Stanley & Co. Llc
    Roseville, CA
    Folsom, CA
  • 2003-07-01 → 2007-12-05
    Wells Fargo Clearing Services, Llc
    Roseville, CA
    Roseville, CA
  • 2000-10-10 → 2003-07-01
    Prudential Equity Group, Llc
    Roseville, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-08-22
  • S63 Uniform Securities Agent State Law Examination
    1995-08-22
Other Names
  • Lori Ann Riffle

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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