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

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-03
OR RA APPROVED 2009-11-16
  • TX RA
    APPROVED_RES
    Since 2019-01-03
  • OR RA
    APPROVED
    Since 2009-11-16

Branch Locations

Jennings Lodge, OR • United States

121 Sw Morrison Suite 1800, Portland, OR 97204 • 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 & Co Inc Portland OR 11/2009 Present
  • 11/2009 → Present
    Stifel Nicolaus & Co Inc
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-05
S63 Uniform Securities Agent State Law Examination 1983-01-27
  • S66 Uniform Combined State Law Examination
    2003-08-05
  • S63 Uniform Securities Agent State Law Examination
    1983-01-27

View on SEC IAPD

More in Jennings Lodge, OR

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor