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Timothy Joseph Walsh

Stifel, Nicolaus & Company, Incorporated

Westlake Village, 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 2019-07-30
CA RA APPROVED 2016-09-01
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • CA RA
    APPROVED
    Since 2016-09-01

Branch Locations

3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • 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 & Co Inc Westlake Village CA 09/2016 Present
  • 09/2016 → Present
    Stifel Nicolaus & Co Inc
    Westlake Village, CA
Previous Registrations
  • 2008-01-01 → 2016-09-06
    Wells Fargo Clearing Services, Llc
    Sherman Oaks, CA
    Woodland Hills, CA
  • 2005-11-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Sherman Oaks, CA
    St. Louis, MO
  • 1998-07-30 → 2005-11-11
    Morgan Stanley Dw Inc.
    Sherman Oaks, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-22
S63 Uniform Securities Agent State Law Examination 1981-06-05
  • S65 Uniform Investment Adviser Law Examination
    1995-05-22
  • S63 Uniform Securities Agent State Law Examination
    1981-06-05

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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