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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 2020-03-19
MI RA APPROVED 2017-12-08
  • TX RA
    APPROVED_RES
    Since 2020-03-19
  • MI RA
    APPROVED
    Since 2017-12-08

Branch Locations

5400 Gateway Center Suite A, Flint, MI 48507 • 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
Wells Fargo Advisors Llc Flint MI 02/2010 11/2016
Wells Fargo Clearing Services, Llc Flint MI 11/2016 12/2017
Stifel Nicolaus & Co Inc Flint MI 12/2017 Present
  • 02/2010 → 11/2016
    Wells Fargo Advisors Llc
    Flint, MI
  • 11/2016 → 12/2017
    Flint, MI
  • 12/2017 → Present
    Stifel Nicolaus & Co Inc
    Flint, MI
Previous Registrations
Other Businesses

1. Notary Public; 5400 Gateway Center Dr Flint MI 48507; Notary; 12/22/2017; 1.00 Hour(s) Per Month; during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-18
  • S66 Uniform Combined State Law Examination
    2014-06-18

View on SEC IAPD

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