Pinnarorth John Peng

Stifel, Nicolaus & Company, Incorporated

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Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-03-28
MN	RA	APPROVED	2023-01-31

TX RA
APPROVED

Since 2023-03-28
MN RA
APPROVED

Since 2023-01-31

Branch Locations

3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • 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

Organization	City	State	From	To
Think Mutual Bank	Rochester	MN	11/2011	07/2022
Stifel, Nicolaus & Co, Inc	Rochester	MN	08/2022	Present

11/2011 → 07/2022

Think Mutual Bank

Rochester, MN
08/2022 → Present

Stifel, Nicolaus & Co, Inc

Rochester, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-01-30

S66 Uniform Combined State Law Examination

2023-01-30

Other Names

Pj Peng
Pinnaroth John Peng

View on SEC IAPD

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Rochester, MN

WELLS FARGO CLEARING SERVICES, LLC · ROCHESTER, MN

STRATEGIC WEALTH GROUP · Rochester, MN

U.S. BANCORP ADVISORS, LLC · Rochester, MN

CETERA INVESTMENT ADVISERS LLC · ROCHESTER, MN

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