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John David Doris

Stifel, Nicolaus & Company, Incorporated

Hamden, CT

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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 2017-11-07
CT RA APPROVED 2007-06-05
  • TX RA
    APPROVED_RES
    Since 2017-11-07
  • CT RA
    APPROVED
    Since 2007-06-05

Branch Locations

2321 Whitney Avenue Suite 106, Hamden, CT 06518 • 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 Hamden CT 06/2007 Present
Previous Registrations
  • 2006-10-12 → 2007-06-05
    Ryan Beck & Co.
    Hamden, CT
    Hamden, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-11
S63 Uniform Securities Agent State Law Examination 1996-05-29
  • S65 Uniform Investment Adviser Law Examination
    2006-10-11
  • S63 Uniform Securities Agent State Law Examination
    1996-05-29

View on SEC IAPD

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