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Neil Hattem

Stifel, Nicolaus & Company, Incorporated

Los Angeles, CA

Westlake Village, 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 2012-07-26
  • CA RA
    APPROVED
    Since 2012-07-26

Branch Locations

2121 Avenue Of The Stars (Fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067 • United States

Westlake Village, CA • 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
Stifel, Nicolaus & Company, Incorporated Los Angeles CA 07/2012 Present
Previous Registrations
  • 2008-12-09 → 2012-08-27
    Hilltop Securities Inc.
    Sherman Oaks, CA
  • 2004-01-27 → 2008-12-15
    M.L. Stern & Co., Llc.
    Agoura Hills, CA
    Beverly Hills, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-05-08
  • S63 Uniform Securities Agent State Law Examination
    1984-05-08
Other Names
  • Neil Hattem

View on SEC IAPD

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