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Benjamin Dean Doughty

Stifel, Nicolaus & Company, Incorporated

Olympia, WA

CRD 3154953

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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
TX RA APPROVED 2012-07-09
WA RA APPROVED 2012-07-09
  • TX RA
    APPROVED
    Since 2012-07-09
  • WA RA
    APPROVED
    Since 2012-07-09

Branch Locations

2010 Caton Way Sw Percival Bldg. 11-Suite101, Olympia, WA 98502 • 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, Incorporated Olympia WA 07/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-07-17
    Morgan Stanley
    Olympia, WA
    Olympia, WA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Olympia, WA
  • 1999-04-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Olympia, WA
    Olympia, WA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-01-21
S65 Uniform Investment Adviser Law Examination 1999-01-21
  • S63 Uniform Securities Agent State Law Examination
    1999-01-21
  • S65 Uniform Investment Adviser Law Examination
    1999-01-21

View on SEC IAPD

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Nearby Offices

MORGAN STANLEY · Olympia, WA
&PARTNERS · Olympia, WA
TRINITY CAPITAL MANAGEMENT, LLC · Olympia, WA

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