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Patrick Francis Sinclair

Stifel, Nicolaus & Company, Incorporated

El Sobrante, CA

Walnut Creek, CA

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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 2009-10-22
CA RA APPROVED 2009-02-23
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • CA RA
    APPROVED
    Since 2009-02-23

Branch Locations

El Sobrante, CA • United States

500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596 • 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 Walnut Creek CA 02/2009 Present
  • 02/2009 → Present
    Stifel Nicolaus & Co Inc
    Walnut Creek, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-12
S63 Uniform Securities Agent State Law Examination 1984-12-05
  • S65 Uniform Investment Adviser Law Examination
    1992-06-12
  • S63 Uniform Securities Agent State Law Examination
    1984-12-05

View on SEC IAPD

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