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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
  • IL RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04

Branch Locations

One North Wacker Suite 3400, Chicago, IL 60606 • 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 Chicago IL 12/2015 Present
Previous Registrations
  • 2009-01-21 → 2015-12-04
    Barclays Capital Inc.
    Chicago, IL
  • 2008-03-19 → 2008-10-15
    Lehman Brothers Inc.
    Chicago, IL
    New York, NY
    Chicago, IL
Other Businesses

1. Invest for Kids; 875 N Michigan Ave, Suite 3400, Chicago, IL 60611; Dedicated to supporting highly effective not for profit organizations serving disadvantaged communities; Advisory Board Member; 01/01/2021; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Alcott Elementary Local School Council (LSC); 2625 N Orchard St, Chicago, IL 60614; The Local School Council serves as the governing body of the school and functions as a vehicle for participatory democracy; Parent Representative; Reviewing, approving and monitoring the school?s Continuous Improvement Work Plan (CIWP), conducting Principal evaluation/selection, & approving the school budget & fundraisers; 08/01/2023; 3 Hours per Month; Not during securities trading hours; Not Investment-Related. 3. Children's Advocacy Centers of Illinois; 400 S. 9th Street Suite 101, Springfield, IL 62701; ACI is the network that coordinates and provides a comprehensive response to child abuse in Illinois; Board Member; 01/26/2023; 2 Hours per Month; Not during securities trading hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-18
S63 Uniform Securities Agent State Law Examination 2006-04-21
  • S66 Uniform Combined State Law Examination
    2008-03-18
  • S63 Uniform Securities Agent State Law Examination
    2006-04-21
Other Names
  • Michelle Villarreal
  • Michelle Shlimon

View on SEC IAPD

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