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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-02-28
HI RA APPROVED 2017-02-28
IL RA APPROVED 2017-02-28
IN RA APPROVED 2017-02-28
MI RA APPROVED 2017-02-28
NV RA APPROVED 2017-02-28
TX RA APPROVED_RES 2017-02-28
WI RA APPROVED 2017-02-28
  • FL RA
    APPROVED
    Since 2017-02-28
  • HI RA
    APPROVED
    Since 2017-02-28
  • IL RA
    APPROVED
    Since 2017-02-28
  • IN RA
    APPROVED
    Since 2017-02-28
  • MI RA
    APPROVED
    Since 2017-02-28
  • NV RA
    APPROVED
    Since 2017-02-28
  • TX RA
    APPROVED_RES
    Since 2017-02-28
  • WI RA
    APPROVED
    Since 2017-02-28

Branch Locations

10550 Broadway, Crown Point, IN 46307 • 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
City Securities Corporation Indianapolis IN 05/2009 02/2017
Stifel, Nicolaus & Company, Incorporated Crown Point IN 02/2017 Present
Previous Registrations
Other Businesses

1. FKAT PROPERTIES LLC; P.O. BOX 191, CULVER, IN 46511; REAL ESTATE; MEMBER; LIMITED; AFFILIATION STARTED 09/01/2007; 3.0 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED. 2. MINAS FOUNDATION ; PO BOX 191, CULVER, IN 46511; CHARITY ; NOT FOR PROFIT FOUNDATION; PRESIDENT; MINIMAL DISTRIBUTION OF FUNDS; AFFILIATION STARTED 03/01/2002; 1.0 HOUR PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 3. PINEAPPLE VENTURES; P.O. BOX 191 CULVER, IN 46511; REAL ESTATE; MANAGING MEMBER; LIMITED; affiliation started 10/01/2004; 1.0 hour per year; not during securities trading hours; investment-related. 4. SANIM MANAGEMENT LLC; P.O. BOX 191, CULVER, IN 46511; Management of all LLC; Member; Oversight; affiliation started 07/01/2003; 4.0 hours per month; not during securities trading hours; not investment-related. 5. SANIM PROPERTIES LLC; P.O. BOX 191 CULVER, IN 46511; Real Estate; Member; Oversight of property; affiliation started 07/01/2003; 4.0 hours per month; not during securities trading hours; investment-related. 6. American Heart Association; PO BOX 191 Culver IN 46511; fund raising; heart of gold board member/ gala; committee member; affiliation started 10/01/2014; 1.0 hour per month; not during securities trading hours; not investment-related. 7. Indiana State University Board of Trustees; 200 N 7th St Terre Haute IN 47809; university; board member; governance; affiliation started 07/01/2008; 8.0 hours per month; during securities trading hours; not investment-related. 8. Indiana State University board of trustees/finance committee; 200 N 7th St Terre Haute IN 47809; review budgets and bond issues, sub committee of the board; board member; oversight; affiliation started 07/01/2008; 8.0 hours per month; during securities trading hours; not investment-related. 9. Indiana State University Foundation Board; 30 North Fifth St Terre Haute IN 47809; fund raising and alumni affairs; board member for oversight; board meetings 4-6 times a year; affiliation started 07/01/2008; 4.0 hours per month; during securities trading hours; not investment-related. 10. Indiana State University foundation/investment committee; 30 North Fifth St Terre Haute IN 47809; to invest the money of the foundation; committee member; serves as 1 of 9 members that reviews performance; affiliation started 12/01/2013; 4.0 hours per month; during securities trading hours; not investment-related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-13
S63 Uniform Securities Agent State Law Examination 1979-10-19
  • S65 Uniform Investment Adviser Law Examination
    1994-09-13
  • S63 Uniform Securities Agent State Law Examination
    1979-10-19
Designations

View on SEC IAPD

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