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Joseph Phillip Hagen

Stifel, Nicolaus & Company, Incorporated

Phoenix, AZ

Chapel Hill, NC

CRD 1090726

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-01-10
MO RA APPROVED 2022-01-07
TX RA APPROVED_RES 2019-12-19
AZ RA APPROVED 2016-09-30
  • NC RA
    APPROVED
    Since 2022-01-10
  • MO RA
    APPROVED
    Since 2022-01-07
  • TX RA
    APPROVED_RES
    Since 2019-12-19
  • AZ RA
    APPROVED
    Since 2016-09-30

Branch Locations

2801 East Camelback Road, Phoenix, AZ 85016 • United States

1414 Raleigh Road, Chapel Hill, NC 27517 • 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 St. Louis MO 05/2008 Present
  • 05/2008 → Present
    Stifel Nicolaus
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-29
S63 Uniform Securities Agent State Law Examination 1983-02-16
  • S65 Uniform Investment Adviser Law Examination
    2016-09-29
  • S63 Uniform Securities Agent State Law Examination
    1983-02-16
Other Names
  • Joe Hagen
  • Joseph P Hagen

View on SEC IAPD

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