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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2024-11-07
TX RA APPROVED_RES 2024-11-05
  • MO RA
    APPROVED
    Since 2024-11-07
  • TX RA
    APPROVED_RES
    Since 2024-11-05

Branch Locations

2820 Bagnell Dam Blvd Suite A2, Lake Ozark, MO 65049 • 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 & Company, Incorporated Lake Ozark MO 11/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-27
S63 Uniform Securities Agent State Law Examination 1983-02-11
  • S65 Uniform Investment Adviser Law Examination
    1998-04-27
  • S63 Uniform Securities Agent State Law Examination
    1983-02-11

View on SEC IAPD

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