Best Investors Account Sign in

Theresa Ann Scott

Stifel, Nicolaus & Company, Incorporated

Poughkeepsie, NY

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-01-11
NY RA APPROVED 2021-04-28
TX RA APPROVED_RES 2014-06-30
  • FL RA
    APPROVED
    Since 2022-01-11
  • NY RA
    APPROVED
    Since 2021-04-28
  • TX RA
    APPROVED_RES
    Since 2014-06-30

Branch Locations

2515 South Road Suite 202, Poughkeepsie, NY 12601 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Poughkeepsie NY 07/2011 Present
  • 07/2011 → Present
    Stifel Nicolaus & Co Inc
    Poughkeepsie, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-27
S63 Uniform Securities Agent State Law Examination 1998-09-25
  • S65 Uniform Investment Adviser Law Examination
    2021-04-27
  • S63 Uniform Securities Agent State Law Examination
    1998-09-25
Other Names
  • Theresa A Marsh
  • Theresa Ann Marsh

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ARAX ADVISORY PARTNERS
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
MORGAN STANLEY
CETERA INVESTMENT ADVISERS LLC
NEWEDGE ADVISORS
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Other Investors

MARK STEVEN BURLINGAME
ALLISON ELISABETH CULLEY
MICHELLE LOUISE NOLEN
Christopher J Tomaskovic
MARY E WINTERS
DONALD GEORGE BELL
John J Gadonniex
MICHAEL M MATTES

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · POUGHKEEPSIE, NY
ARAX ADVISORY PARTNERS · Poughkeepsie, NY
CHARLES SCHWAB & CO., INC. · Poughkeepsie, NY
LPL FINANCIAL LLC · POUGHKEEPSIE, NY
MORGAN STANLEY · POUGHKEEPSIE, NY
CETERA INVESTMENT ADVISERS LLC · POUGHKEEPSIE, NY
NEWEDGE ADVISORS · Poughkeepsie, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · POUGHKEEPSIE, NY

More in Poughkeepsie, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor