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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 2014-04-16
FL RA APPROVED 2014-02-20
PA RA APPROVED 2014-02-20
  • TX RA
    APPROVED_RES
    Since 2014-04-16
  • FL RA
    APPROVED
    Since 2014-02-20
  • PA RA
    APPROVED
    Since 2014-02-20

Branch Locations

3701 Corporate Parkway Suite 110, Center Valley, PA 18034 • United States

Amelia Island, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Company, Inc. St. Louis MO 02/2014 Present
  • 02/2014 → Present
    Stifel Nicolaus & Company, Inc.
    St. Louis, MO
Previous Registrations
  • 2012-04-16 → 2014-02-27
    Amelia Island, FL
    Allentown, PA
    Amelia Island, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-11
S63 Uniform Securities Agent State Law Examination 1988-02-24
  • S65 Uniform Investment Adviser Law Examination
    1994-01-11
  • S63 Uniform Securities Agent State Law Examination
    1988-02-24
Other Names
  • Bob William Price

View on SEC IAPD

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