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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 2018-01-04
CA RA APPROVED 2016-01-14
  • TX RA
    APPROVED_RES
    Since 2018-01-04
  • CA RA
    APPROVED
    Since 2016-01-14

Branch Locations

31 W. Stuart Avenue Suite 200, Redlands, CA 92374 • 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 Redlands CA 11/2015 Present
  • 11/2015 → Present
    Stifel Nicolaus & Co Inc
    Redlands, CA
Previous Registrations
  • 2009-06-01 → 2016-02-05
    Redlands, CA
    Riverside, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Redlands, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Redlands, CA
    Redlands, CA
Other Businesses

1. Inland Empire Lighthouse for the Blind; 359 East Parkcenter Circle South San Bernardino CA 92410; School for the Blind; Board Member; serves on the fund raising committee; affiliation started 01/14/1989; 1 hour per day; during securities trading hours; not investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-08-02
  • S63 Uniform Securities Agent State Law Examination
    1984-08-02
Other Names
  • Truman Aubie Day
  • Truman Aubie Day

View on SEC IAPD

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