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Stephen Charles Kally

Stifel, Nicolaus & Company, Incorporated

Ventura, CA

Santa Barbara, CA

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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 2014-04-10
CA RA APPROVED 2012-09-20
  • TX RA
    APPROVED_RES
    Since 2014-04-10
  • CA RA
    APPROVED
    Since 2012-09-20

Branch Locations

Ventura, CA • United States

206 East Anapamu Street, Santa Barbara, CA 93101 • 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 & Co Inc Santa Barbara CA 09/2012 Present
  • 09/2012 → Present
    Stifel Nicolaus & Co Inc
    Santa Barbara, CA
Previous Registrations
Other Businesses

1. STEPHEN KALLY & CARIN KALLY; OWNER; SPOUSE PROPERTY MANAGER; 1 HOUR PER QUARTER; NOT DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-26
S63 Uniform Securities Agent State Law Examination 1983-05-28
  • S65 Uniform Investment Adviser Law Examination
    2004-05-26
  • S63 Uniform Securities Agent State Law Examination
    1983-05-28
Designations

View on SEC IAPD

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