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Robert Louis Capone

Stifel, Nicolaus & Company, Incorporated

Middletown, RI

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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 2019-07-30
RI RA APPROVED 2009-06-18
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • RI RA
    APPROVED
    Since 2009-06-18

Branch Locations

850 Aquidneck Avenue Unit B2-A, Middletown, RI 02842 • 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 & Co Inc East Harwich MA 06/2009 Present
  • 06/2009 → Present
    Stifel Nicolaus & Co Inc
    East Harwich, MA
Previous Registrations
  • 2008-01-01 → 2009-06-19
    Wells Fargo Clearing Services, Llc
    Providence, RI
  • 2007-01-24 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Charlestown, RI
    Providence, RI
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-23
S63 Uniform Securities Agent State Law Examination 1987-04-02
  • S66 Uniform Combined State Law Examination
    2007-01-23
  • S63 Uniform Securities Agent State Law Examination
    1987-04-02

View on SEC IAPD

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