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James Austin Walne

Stifel, Nicolaus & Company, Incorporated

Memphis, TN

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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 2014-04-10
TN RA APPROVED 2010-04-23
  • TX RA
    APPROVED_RES
    Since 2014-04-10
  • TN RA
    APPROVED
    Since 2010-04-23

Branch Locations

6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119 • 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 Memphis TN 04/2010 Present
  • 04/2010 → Present
    Stifel Nicolaus & Co Inc
    Memphis, TN
Previous Registrations
  • 2004-03-11 → 2010-04-23
    Morgan Keegan & Company, Llc
    Memphis, TN
    Memphis, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-14
S63 Uniform Securities Agent State Law Examination 1983-02-02
  • S65 Uniform Investment Adviser Law Examination
    2010-09-14
  • S63 Uniform Securities Agent State Law Examination
    1983-02-02

View on SEC IAPD

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