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Carol Ann Ball

Stifel, Nicolaus & Company, Incorporated

Boston, MA

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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 2015-12-04
TX RA APPROVED_RES 2015-12-04
  • PA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED_RES
    Since 2015-12-04

Branch Locations

125 High Street, Boston, MA 02110 • 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 Boston MA 12/2015 Present
Previous Registrations
  • 2009-01-21 → 2015-12-04
    Barclays Capital Inc.
    Boston, MA
    New York, NY
  • 2007-12-06 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    Boston, MA
    Boston, MA
Other Businesses

Notary Public;125 High Street, Boston, MA 02110; 9/18/15;1 hour/yr; not during securities hours; not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-17
  • S66 Uniform Combined State Law Examination
    2008-03-17
Other Names
  • Carol A Golden

View on SEC IAPD

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Other Offices

COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
WUXI HEALTHCARE VENTURES MANAGEMENT US LLC · BOSTON, MA
NEWPATH MANAGEMENT, L.P. · BOSTON, MA

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