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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-07-30
  • PA RA
    APPROVED
    Since 2020-07-30

Branch Locations

790 Township Line Road Suite 175, Yardley, PA 19067 • 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 Princeton NJ 04/2008 Present
  • 04/2008 → Present
    Stifel Nicolaus
    Princeton, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-06
S63 Uniform Securities Agent State Law Examination 1983-09-27
  • S65 Uniform Investment Adviser Law Examination
    1996-03-06
  • S63 Uniform Securities Agent State Law Examination
    1983-09-27

View on SEC IAPD

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