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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
OH RA APPROVED 2009-06-16
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • OH RA
    APPROVED
    Since 2009-06-16

Branch Locations

3685 Stutz Drive-Suite 201, Canfield, OH 44406 • 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 Youngstown OH 03/2009 Present
  • 03/2009 → Present
    Stifel Nicolaus & Co Inc
    Youngstown, OH
Previous Registrations
  • 2003-01-15 → 2009-06-10
    Butler, Wick & Co., Inc.
    Youngstown, OH
    Youngstown, OH
Other Businesses

1. The Butler Institute of American Art; 524 Wick Avenue Youngstown, OH 44502; Art Museum; Board of Trustees; Typical role of a board member of a non-profit organization; 07/01/1987; 3hrs/qtr; During securities trading hours; Not investment related 2. Youngstown State University Foundation; 655 Wick Avenue Youngstown OH 44502; Provides Scholarships and support to YSU students; Board of Trustees; Typical responsibilities of trustees of a non-profit organization; 07/01/1987; 3 hrs/quarter; During security trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-12
S63 Uniform Securities Agent State Law Examination 1988-06-15
  • S65 Uniform Investment Adviser Law Examination
    2009-02-12
  • S63 Uniform Securities Agent State Law Examination
    1988-06-15

View on SEC IAPD

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