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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 2021-07-20
CA RA APPROVED 2008-11-07
  • TX RA
    APPROVED_RES
    Since 2021-07-20
  • CA RA
    APPROVED
    Since 2008-11-07

Branch Locations

5780 Fleet Street, Suite 250, Carlsbad, CA 92008 • United States

Carlsbad, CA • 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 Bansall CA 11/2008 Present
  • 11/2008 → Present
    Stifel Nicolaus & Co Inc
    Bansall, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-28
S63 Uniform Securities Agent State Law Examination 1987-03-23
  • S65 Uniform Investment Adviser Law Examination
    1995-02-28
  • S63 Uniform Securities Agent State Law Examination
    1987-03-23

View on SEC IAPD

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