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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2009-09-11
TX RA APPROVED_RES 2009-09-11
  • KS RA
    APPROVED
    Since 2009-09-11
  • TX RA
    APPROVED_RES
    Since 2009-09-11

Branch Locations

Tecumseh, KS • United States

5833 Sw 29Th Street, Topeka, KS 66614 • 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 Topeka KS 09/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-13
S63 Uniform Securities Agent State Law Examination 1985-10-23
  • S65 Uniform Investment Adviser Law Examination
    1994-10-13
  • S63 Uniform Securities Agent State Law Examination
    1985-10-23

View on SEC IAPD

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