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Richard Alphonse Ray

Stifel, Nicolaus & Company, Incorporated

Morristown, NJ

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2009-05-01
  • NJ RA
    APPROVED
    Since 2009-05-01

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • 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 & Co Inc Florham Park NJ 05/2009 Present
  • 05/2009 → Present
    Stifel Nicolaus & Co Inc
    Florham Park, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-11-06
S63 Uniform Securities Agent State Law Examination 1983-02-04
  • S65 Uniform Investment Adviser Law Examination
    2009-11-06
  • S63 Uniform Securities Agent State Law Examination
    1983-02-04
Other Names
  • Richard A Ray

View on SEC IAPD

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