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Harry Edward Fischer

Stifel, Nicolaus & Company, Incorporated

San Luis Obispo, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-12-04
TX RA APPROVED_RES 2020-12-04
  • CA RA
    APPROVED
    Since 2020-12-04
  • TX RA
    APPROVED_RES
    Since 2020-12-04

Branch Locations

4460 Broad Street Suite 210, San Luis Obispo, CA 93401 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc San Luis Obisop CA 03/2010 11/2016
Wells Fargo Clearing Services, Llc San Luis Obisop CA 11/2016 12/2020
Stifel Nicolaus & Co Inc San Luis Obispo CA 12/2020 Present
  • 03/2010 → 11/2016
    Wells Fargo Advisors Llc
    San Luis Obisop, CA
  • 11/2016 → 12/2020
    Wells Fargo Clearing Services, Llc
    San Luis Obisop, CA
  • 12/2020 → Present
    Stifel Nicolaus & Co Inc
    San Luis Obispo, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-02-22
S63 Uniform Securities Agent State Law Examination 1989-09-26
  • S65 Uniform Investment Adviser Law Examination
    2000-02-22
  • S63 Uniform Securities Agent State Law Examination
    1989-09-26

View on SEC IAPD

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Other Offices

COMMONWEALTH FINANCIAL NETWORK · San Luis Obispo, CA
LPL FINANCIAL LLC · SAN LUIS OBISPO, CA
MML INVESTORS SERVICES, LLC · SAN LUIS OBISPO, CA
EDWARD JONES · SAN LUIS OBISPO, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · San Luis Obispo, CA
CORVUS WEALTH ADVISORS LLC · SAN LUIS OBISPO, CA
PEAK WEALTH ADVISORS, INC. · SAN LUIS OBISPO, CA
CREW WEALTH MANAGEMENT · SAN LUIS OBISPO, CA

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