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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 2020-03-09
IN RA APPROVED 2007-07-31
  • TX RA
    APPROVED_RES
    Since 2020-03-09
  • IN RA
    APPROVED
    Since 2007-07-31

Branch Locations

800 Main Street Suite 400, Anderson, IN 46016 • 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 Anderson IN 07/2007 Present
Previous Registrations
Other Businesses

Notary; 33 W 10th St Suite 900, Anderson NC 46016; Notarize documents for clients; 1.00 Hour(s) Per Month - during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-11
  • S66 Uniform Combined State Law Examination
    2000-12-11
Other Names
  • Carol Ann Leech
  • Carol Ann Leech

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Anderson, IN

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