Best Investors Account Sign in
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2017-01-04
TX RA APPROVED_RES 2009-10-22
  • AZ RA
    APPROVED
    Since 2017-01-04
  • TX RA
    APPROVED_RES
    Since 2009-10-22

Branch Locations

Goodyear, AZ • United States

14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Omaha NE 01/2009 Present
  • 01/2009 → Present
    Stifel Nicolaus & Co Inc
    Omaha, NE
Previous Registrations
Other Businesses

SMALL FAMILY FARM; OWNER/MANAGER; FARMING; 5 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-24
S63 Uniform Securities Agent State Law Examination 1981-11-02
  • S65 Uniform Investment Adviser Law Examination
    2001-01-24
  • S63 Uniform Securities Agent State Law Examination
    1981-11-02

View on SEC IAPD

More in Goodyear, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor