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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2022-01-10
TX RA APPROVED_RES 2018-06-27
NH RA APPROVED 2008-11-10
  • HI RA
    APPROVED
    Since 2022-01-10
  • TX RA
    APPROVED_RES
    Since 2018-06-27
  • NH RA
    APPROVED
    Since 2008-11-10

Branch Locations

Newport, NH • United States

276 Newport Road Suite 104, New London, NH 03257 • 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 New London NH 10/2008 Present
  • 10/2008 → Present
    Stifel Nicolaus & Co Inc
    New London, NH
Previous Registrations
Other Businesses

1. Newport Library Arts Center; Main St, Newport, NH, 03773; Library; Board Member; Investment advice; 05/19/2010; 2 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Newport Charitable Fund; Main St, Newport, NH 03773; board of advisors; member; charitable giving advice; 05/19/2010; 5 Hours per Year; Not during securities trading hours; Not Investment-related. 3. PE Enterprises LLC;276 Newport Rd New London NH 03257;Holding Company to purchase Condo Unit; Partner; provide initial funding and collateral;11/12/19; 1 hr/mo; not during securities trading hours; investment related. 4. The Gallery Condominium Owners Association; c/o River Valley Property Maint. - PO Box 66, Windsor, NH 05089; Condo Association for The Gallery building at 276 Newport Rd, New London, NH 03257 - Stifel rents an office in the building; Member -Board of Directors; Vote on improvements and management of office building that I am co-owner of condo units and that Stifel rents office space; 1/1/2024; 2 hrs/qtr; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-03
S63 Uniform Securities Agent State Law Examination 1979-07-10
  • S66 Uniform Combined State Law Examination
    2009-06-03
  • S63 Uniform Securities Agent State Law Examination
    1979-07-10
Other Names
  • Philip Dewitt Estabrook

View on SEC IAPD

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