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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2015-01-22
TX RA APPROVED_RES 2015-01-22
  • IN RA
    APPROVED
    Since 2015-01-22
  • TX RA
    APPROVED_RES
    Since 2015-01-22

Branch Locations

3000 E. Morgan Ave Suite A, Evansville, IN 47711 • 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 Evansville IN 01/2015 Present
  • 01/2015 → Present
    Stifel Nicolaus & Co Inc
    Evansville, IN
Previous Registrations
Other Businesses

1. RUDER INVESTMENT PROPERTIES (OWNER) PO BOX 2482 EVANSVILLE IN 47728; RENTAL REAL ESTATE; AFFILIATION STARTED 06/10/1987; 1 HOUR PER DAY; NOT DURING SECURITIES TRADING HOURS. 2. BATS LLC; 7508 E SYCAMORE ST EVANSVILLE IN 47715; REAL ESTATE LLC; Operation of BRATS LLC; ALL APPROPIATE DUTIES OF OPERATION; 01/04/2018; 1.00 Hour(s) Per Week; not during securities trading hours; Investment-Related 3. NOTARY VANDERBURGH COUNTY COMMISSION; PO BOX 2482 Evansville IN 47728; NOTARY SERVICE NO COMPENSATION NON-FIRM RELATED INDIVIDUALS; 07/19/1993; 0.01 HOUR PER DAY; Not during securities trading hours; NOT INVESTMENT RELATED 4. Big Bats, LLC; PO Box 2482 Evansville IN 47728; Real Estate Investments; Single Owner LLC; Manager; 01/16/2018; 1.00 Hour(s) Per Day; not during securities trading hours; Investment-Related 5. Thomas A. & Sharon K. Ruder Foundation Inc; PO Box 2482 Evansville IN 47728;Charitable non-profit; President; Manage activities of foundation; 01/01/2000; 1.00 Hour(s) Per Day; not during securities trading hours; Not Investment-Related 6. St Joseph Cemetery; 2500 Mesker Park Dr Evansville IN 47720; Board of Directors; Review work of the cemetery, oversee the budget and plan for the future needs of cemetery; 04/01/2019; 2.00 Hour(s) Per Quarter; not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-06
S63 Uniform Securities Agent State Law Examination 1985-05-18
  • S65 Uniform Investment Adviser Law Examination
    1992-03-06
  • S63 Uniform Securities Agent State Law Examination
    1985-05-18

View on SEC IAPD

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