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Frank A Dyer

Stifel, Nicolaus & Company, Incorporated

Corralitos, CA

Monterey, CA

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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 2024-05-28
CA RA APPROVED 2008-08-22
  • TX RA
    APPROVED_RES
    Since 2024-05-28
  • CA RA
    APPROVED
    Since 2008-08-22

Branch Locations

Corralitos, CA • United States

24591 Silver Cloud Ct. Suite 250, Monterey, CA 93940 • 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 Monterey CA 08/2008 Present
  • 08/2008 → Present
    Stifel Nicolaus & Co Inc
    Monterey, CA
Previous Registrations
  • 2008-01-01 → 2008-08-26
    Wells Fargo Clearing Services, Llc
    Monterey, CA
  • 2005-08-29 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Monterey, CA
    St. Louis, MO
    Monterey, CA
  • 1998-11-02 → 2005-08-22
    Morgan Stanley Dw Inc.
    Santa Cruz, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-04
S63 Uniform Securities Agent State Law Examination 1980-09-06
  • S66 Uniform Combined State Law Examination
    2009-02-04
  • S63 Uniform Securities Agent State Law Examination
    1980-09-06

View on SEC IAPD

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