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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-06-11
TX RA APPROVED 2019-06-07
  • CA RA
    APPROVED
    Since 2019-06-11
  • TX RA
    APPROVED
    Since 2019-06-07

Branch Locations

520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • 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 Irvine CA 07/2014 11/2016
Wells Fargo Clearing Services, Llc Irvine CA 11/2016 06/2019
Stifel, Nicolaus & Company, Incorporated Newport Beach CA 06/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-03
  • S66 Uniform Combined State Law Examination
    2014-11-03

View on SEC IAPD

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