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Timothy Alexis Johnson

Stifel, Nicolaus & Company, Incorporated

East Harwich, MA

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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 2016-12-13
CA RA APPROVED 2014-02-05
  • TX RA
    APPROVED_RES
    Since 2016-12-13
  • CA RA
    APPROVED
    Since 2014-02-05

Branch Locations

Firefly Professional Bldg., 105 Route 137 Unit A, East Harwich, MA 02645 • 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 & Co Inc Hewlett NY 03/2009 Present
  • 03/2009 → Present
    Stifel Nicolaus & Co Inc
    Hewlett, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-01
S63 Uniform Securities Agent State Law Examination 1981-12-28
  • S65 Uniform Investment Adviser Law Examination
    2012-09-01
  • S63 Uniform Securities Agent State Law Examination
    1981-12-28
Other Names
  • Tim Johnson

View on SEC IAPD

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