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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 2019-09-30
PA RA APPROVED 2016-09-30
NJ RA APPROVED 2014-02-19
  • TX RA
    APPROVED_RES
    Since 2019-09-30
  • PA RA
    APPROVED
    Since 2016-09-30
  • NJ RA
    APPROVED
    Since 2014-02-19

Branch Locations

1040 Broad Street Suite 301, Shrewsbury, NJ 07702 • United States

Disclosures

3 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 Yes
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Yardley PA 07/2007 Present
Other Businesses

1. Kiwanis International; 3636 Woodview Trace Indianapolis IN 46268; Non profit service organization serving children; President; Help promote membership & service around the world; 10/01/2025; 2hrs/day; During securities trading hours; Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-30
S63 Uniform Securities Agent State Law Examination 1989-08-04
  • S66 Uniform Combined State Law Examination
    2008-04-30
  • S63 Uniform Securities Agent State Law Examination
    1989-08-04

View on SEC IAPD

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