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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 2019-07-30
PA RA APPROVED 2007-07-31
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • PA RA
    APPROVED
    Since 2007-07-31

Branch Locations

790 Township Line Road Suite 175, Yardley, PA 19067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Yardley PA 07/2007 Present
Previous Registrations
  • 2005-08-08 → 2007-07-31
    Ryan Beck & Co.
    Yardley, PA
    Yardley, PA
Other Businesses

Calvary Full Gospel Church; 676 Lincoln Hwy, Fairless Hills, PA 19030; Church, religious organization; Lead Pastor; Preach and teach the Bible. Oversee the business of the church; 11/17/2023; 20 hrs/week; during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-28
S63 Uniform Securities Agent State Law Examination 1980-07-23
  • S65 Uniform Investment Adviser Law Examination
    1996-05-28
  • S63 Uniform Securities Agent State Law Examination
    1980-07-23

View on SEC IAPD

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