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Carlos Mieles

Stifel, Nicolaus & Company, Incorporated

New York, NY

CRD 7450735

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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
NY RA APPROVED 2022-01-12
  • NY RA
    APPROVED
    Since 2022-01-12

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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 New York NY 10/2021 Present
Ibisworld New York NY 02/2019 09/2021
Cam Architect New York NY 06/2016 01/2017
Phaidon International New York NY 02/2017 08/2018
Cam Architect New York NY 08/2018 02/2019
  • 10/2021 → Present
    Stifel, Nicolaus & Company
    New York, NY
  • 02/2019 → 09/2021
    Ibisworld
    New York, NY
  • 06/2016 → 01/2017
    Cam Architect
    New York, NY
  • 02/2017 → 08/2018
    Phaidon International
    New York, NY
  • 08/2018 → 02/2019
    Cam Architect
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-11
  • S66 Uniform Combined State Law Examination
    2022-01-11
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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