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Roger Lowell Wilkie

Stifel, Nicolaus & Company, Incorporated

Overland Park, KS

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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 2021-05-04
  • KS RA
    APPROVED
    Since 2021-05-04

Branch Locations

40 Corporate Woods Building 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS 66210 • United States

Disclosures

3 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 Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Overland Park KS 05/2009 11/2016
Wells Fargo Clearing Services, Llc Overland Park KS 11/2016 04/2021
Stifel Nicolaus & Co Inc Overland Park KS 04/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Overland Park, KS
  • 11/2016 → 04/2021
    Wells Fargo Clearing Services, Llc
    Overland Park, KS
  • 04/2021 → Present
    Stifel Nicolaus & Co Inc
    Overland Park, KS
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-10
S63 Uniform Securities Agent State Law Examination 1981-02-09
  • S65 Uniform Investment Adviser Law Examination
    2007-03-10
  • S63 Uniform Securities Agent State Law Examination
    1981-02-09

View on SEC IAPD

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