Edward J Yen

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-03-21
TX	RA	APPROVED_RES	2013-02-06
OH	RA	APPROVED	2013-01-30

FL RA
APPROVED

Since 2018-03-21
TX RA
APPROVED_RES

Since 2013-02-06
OH RA
APPROVED

Since 2013-01-30

Branch Locations

4449 Easton Way Suite 120, Columbus, OH 43219 • United States

3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410 • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Dublin	OH	01/2013	Present

01/2013 → Present

Stifel Nicolaus & Co Inc

Dublin, OH

Previous Registrations

1998-07-16 → 2013-01-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Columbus, OH

Columbus, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-10-23
S63	Uniform Securities Agent State Law Examination	1986-12-11

S65 Uniform Investment Adviser Law Examination

1998-10-23
S63 Uniform Securities Agent State Law Examination

1986-12-11

View on SEC IAPD

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Previous Registrations

Exams

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