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Thomas K Cook

Stifel, Nicolaus & Company, Incorporated

Honolulu, HI

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2011-06-17
TX RA APPROVED 2011-06-17
  • HI RA
    APPROVED
    Since 2011-06-17
  • TX RA
    APPROVED
    Since 2011-06-17

Branch Locations

1099 Alakea Street Suite 1510, Honolulu, HI 96813 • 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 & Co Inc Honolulu HI 06/2011 Present
  • 06/2011 → Present
    Stifel Nicolaus & Co Inc
    Honolulu, HI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-26
  • S66 Uniform Combined State Law Examination
    2009-01-26

View on SEC IAPD

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COMMONWEALTH FINANCIAL NETWORK
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Other Investors

Kawika Shoji
GEORGE CHRISTIAN FLOAN HART
IAN YUEN YEE WONG
KELII JK KIAKONA
ERIC-ALLEN TSUTOMU CHING
JENNIFER LEE KUANONI
TYLER YOSHIO TAKAHATA
CHASE SANTOS

Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
WELLS FARGO CLEARING SERVICES, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI

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