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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_RES 2020-01-13
OH RA APPROVED 2009-03-10
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • OH RA
    APPROVED
    Since 2009-03-10

Branch Locations

100 S. Broadway 2Nd Floor Pob 448, Salem, OH 44460 • 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 & Company, Incorporated Salem OH 03/2009 Present
Previous Registrations
  • 2007-09-21 → 2009-03-10
    Butler, Wick & Co., Inc.
    Youngstown, OH
    Warren, OH
    Salem, OH
    Salem, OH
Other Businesses

1. Ohio Valley Energy; 200 Victory Road #4, Youngstown, OH 44515; Oil/Gas well drilling and service; Lessor; Receive royalty checks; 06/05/2007; 0 Hours per Year; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-19
S63 Uniform Securities Agent State Law Examination 1983-04-28
  • S65 Uniform Investment Adviser Law Examination
    2007-09-19
  • S63 Uniform Securities Agent State Law Examination
    1983-04-28

View on SEC IAPD

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