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John J Morningstar

Stifel, Nicolaus & Company, Incorporated

Indianapolis, IN

CRD 5119059

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-13
NC RA APPROVED 2012-04-30
IN RA APPROVED 2011-07-01
  • TX RA
    APPROVED_RES
    Since 2023-03-13
  • NC RA
    APPROVED
    Since 2012-04-30
  • IN RA
    APPROVED
    Since 2011-07-01

Branch Locations

600 East 96Th Street, Suite 575, Indianapolis, IN 46240 • 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 Indianapolis IN 03/2006 02/2023
Sapient Capital Llc Indianapolis IN 02/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-30
S63 Uniform Securities Agent State Law Examination 2011-02-21
  • S65 Uniform Investment Adviser Law Examination
    2011-06-30
  • S63 Uniform Securities Agent State Law Examination
    2011-02-21

View on SEC IAPD

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