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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 2020-01-13
MD RA APPROVED 2008-08-13
  • TX RA
    APPROVED
    Since 2020-01-13
  • MD RA
    APPROVED
    Since 2008-08-13

Branch Locations

303 International Circle Suite 590, Hunt Valley, MD 21030 • United States

Timonium, MD • 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 Bel Air MD 08/2008 Present
  • 08/2008 → Present
    Stifel Nicolaus & Co Inc
    Bel Air, MD
Previous Registrations
  • 2008-01-01 → 2008-10-23
    Hunt Valley, MD
    Hunt Valley, MD
  • 1991-09-19 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Hunt Valley, MD
    Hunt Valley, MD
    St. Louis, MO
Other Businesses

1. Cole Building Co.;2302 Ravenview Rd Timonium MD 21093; Real Estate; Owner; 05/18/1964; 1.00 Hour(s) Per Month; not during securities trading hours; Investment-Related. 2. Inherited Ground Rents(Small Land Leases); 2302 Ravenview Rd, Timonium, MD 21093; Small Ground Leases; Owner; 2/16/1994; 2 hr/mo; Not During Securities Trading Hours; Investment Related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-07-28
  • S63 Uniform Securities Agent State Law Examination
    1982-07-28
Designations

View on SEC IAPD

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