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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 2018-04-27
CA RA APPROVED 2018-04-26
  • TX RA
    APPROVED_RES
    Since 2018-04-27
  • CA RA
    APPROVED
    Since 2018-04-26

Branch Locations

1549 Mchenry Avenue Suite A, Modesto, CA 95350 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Modesto CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Modesto CA 11/2016 04/2018
Stifel Nicolaus & Co Inc Modesto CA 04/2018 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Modesto, CA
  • 11/2016 → 04/2018
    Modesto, CA
  • 04/2018 → Present
    Stifel Nicolaus & Co Inc
    Modesto, CA
Previous Registrations
Other Businesses

1. Sara Anderson Properties LLC; 2505 VAN GOH DR, MODESTO CA 95356; Property Management - Partner; 05/169/2006; 1 HR DAY; NONE DURING TRADING HOURS; INVESTMENT RELATED 2. SCENIC CREEK PLAZA; 2505 VAN GOH DR, MODESTO CA 95356; COMMERCIAL REAL ESTATE; 1/4 OWNER; DUTIES - LANDLORD; START DATE 01/01/2010; 1 HR DAY; NONE DURING TRADING HOURS; INVESTMENT RELATED 3. RENTAL PROPERTY; MODESTO, CA; OWNER OF SIX RENTAL PROPERTIES; DUTIES - LANDLORD; START DATE 1/1/1975; 1 HR DAY; NONE DURING TRADING HOURS; INVESTMENT RELATED

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-07-27
  • S63 Uniform Securities Agent State Law Examination
    1992-07-27
Other Names
  • Randy Anderson

View on SEC IAPD

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