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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 2025-06-10
CA RA APPROVED 2014-02-05
  • TX RA
    APPROVED_RES
    Since 2025-06-10
  • CA RA
    APPROVED
    Since 2014-02-05

Branch Locations

20 Custom House Street, Boston, MA 02110 • 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
Stifel Nicolaus Boston MA 01/2008 Present
  • 01/2008 → Present
    Stifel Nicolaus
    Boston, MA
Previous Registrations
  • 2007-12-11 → 2008-01-25
    Morgan Stanley & Co. Llc
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-10
S63 Uniform Securities Agent State Law Examination 1986-02-13
  • S65 Uniform Investment Adviser Law Examination
    2007-12-10
  • S63 Uniform Securities Agent State Law Examination
    1986-02-13

View on SEC IAPD

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