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Stephen Solon Wasserman

Stifel, Nicolaus & Company, Incorporated

Clayton, MO

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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 2020-08-04
MO RA APPROVED 1995-10-31
  • TX RA
    APPROVED_RES
    Since 2020-08-04
  • MO RA
    APPROVED
    Since 1995-10-31

Branch Locations

8182 Maryland Ave. 10Th Floor, Clayton, MO 63105 • 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 & Company, Incorporated Clayton MO 11/1988 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-07
S63 Uniform Securities Agent State Law Examination 1983-05-17
  • S65 Uniform Investment Adviser Law Examination
    2006-03-07
  • S63 Uniform Securities Agent State Law Examination
    1983-05-17
Other Names
  • Stephen S Wasserman

View on SEC IAPD

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