Marc Yukio Kozuki

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-01-02
HI	RA	APPROVED	2011-02-17

TX RA
APPROVED_RES

Since 2018-01-02
HI RA
APPROVED

Since 2011-02-17

Branch Locations

33 Lono Avenue Suite 100, Kahului, HI 96732 • 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

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	San Francisco	CA	12/2010	Present

12/2010 → Present

Stifel, Nicolaus & Company, Incorporated

San Francisco, CA

Other Businesses

1. Maui Leis and Flowers LLC; 1460 Kilinoe Pl Wailuku HI 96793; wholesale and retail sale of flowers; partner; administrative; 04/22/2024; 5.00hrs/week; not during securities trading hours; not investment-related. 2. Home Maid Bakery Inc; 1005 Lower Main St Wailuku HI 96793; bakery; president; administrative; 01/01/2010; 1 hr/day; Not during securities trading hours; Not Investment-Related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-02-15

S66 Uniform Combined State Law Examination

2011-02-15

View on SEC IAPD

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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