Best Investors Account Sign in
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-03-16
WI RA APPROVED 2018-03-16
  • TX RA
    APPROVED
    Since 2018-03-16
  • WI RA
    APPROVED
    Since 2018-03-16

Branch Locations

W233 N2080 Ridgeview Pkw Suite 202, Waukesha, WI 53188 • 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
B. C. Ziegler And Company Milwaukee WI 11/2010 03/2018
Stifel, Nicolaus & Company, Incorporated Waukesha WI 03/2018 Present
Previous Registrations
  • 2009-06-12 → 2018-03-16
    B. C. Ziegler And Company
    Chicago, IL
    West Bend, WI
    Chicago, IL
    Sheboygan, WI
    Waukesha, WI
  • 2005-01-01 → 2009-05-12
    Menomonee Falls, WI
  • 1999-07-22 → 2005-01-01
    Strong Capital Management Inc
    Menomonee Falls, WI
Other Businesses

1. UW - Whitewater Finance and Business Law Department Advisory Board; 800 W Main Street, Whitewater, WI, 53190; Advisory board member; Listen to student presentations and provide feedback on the presentations; 01/01/2006; 10.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related 2. Stone Bank Community Connect; W335 N7065 Stone Bank Road Oconomowoc, WI 53066; Currently the Lions run Stone Bank Community Park and all that goes along with it. This new 501(c)(3) is taking over.; Vice President; Help oversee park operations, 4th of July Parade, youth baseball, men's softball, building and field improvements.; 04/21/2025; 2 hours/week; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-26
S63 Uniform Securities Agent State Law Examination 1996-01-31
  • S65 Uniform Investment Adviser Law Examination
    1997-06-26
  • S63 Uniform Securities Agent State Law Examination
    1996-01-31

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Waukesha, WI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor