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Richard Elliot Griffler

Stifel, Nicolaus & Company, Incorporated

Wilmington, NC

Wilmington, NC

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2019-08-02
  • NC RA
    APPROVED
    Since 2019-08-02

Branch Locations

Wilmington, NC • United States

2005 Eastwood Road Suite 102, Wilmington, NC 28403 • 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 Ramsey NJ 02/2009 Present
  • 02/2009 → Present
    Stifel Nicolaus & Co Inc
    Ramsey, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-10-20
S63 Uniform Securities Agent State Law Examination 1981-01-19
  • S65 Uniform Investment Adviser Law Examination
    2008-10-20
  • S63 Uniform Securities Agent State Law Examination
    1981-01-19

View on SEC IAPD

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