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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 2021-12-03
  • CA RA
    APPROVED
    Since 2021-12-03

Branch Locations

20 Custom House Street, Boston, MA 02110 • 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
Rbc Capital Markets Corporation Danvers MA 03/2008 04/2018
Raymond James & Associates Boston MA 04/2018 07/2020
Stifel Nicolaus & Co Inc Boston MA 12/2021 Present
Rockland Federal Credit Union Rockland MA 02/2021 03/2021
State Of Massachusetts Department Of Unemployment Assistance Boston MA 04/2021 11/2021
Unemployed Marshfield MA 08/2020 01/2021
  • 03/2008 → 04/2018
    Rbc Capital Markets Corporation
    Danvers, MA
  • 04/2018 → 07/2020
    Raymond James & Associates
    Boston, MA
  • 12/2021 → Present
    Stifel Nicolaus & Co Inc
    Boston, MA
  • 02/2021 → 03/2021
    Rockland Federal Credit Union
    Rockland, MA
  • 04/2021 → 11/2021
    State Of Massachusetts Department Of Unemployment Assistance
    Boston, MA
  • 08/2020 → 01/2021
    Unemployed
    Marshfield, MA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-07-20
S63 Uniform Securities Agent State Law Examination 1996-12-13
  • S65 Uniform Investment Adviser Law Examination
    2011-07-20
  • S63 Uniform Securities Agent State Law Examination
    1996-12-13

View on SEC IAPD

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