Joseph Anthony Galluzzo

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2014-02-05

CA RA
APPROVED

Since 2014-02-05

Branch Locations

20 Custom House Street, Boston, MA 02110 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Boston	MA	04/2009	Present

04/2009 → Present

Stifel Nicolaus & Co Inc

Boston, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-12-23
S63	Uniform Securities Agent State Law Examination	1984-05-15

S65 Uniform Investment Adviser Law Examination

2009-12-23
S63 Uniform Securities Agent State Law Examination

1984-05-15

Other Names

Joseph A Galluzzo

View on SEC IAPD

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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