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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 2021-01-04
MT RA APPROVED 2009-05-22
  • TX RA
    APPROVED_RES
    Since 2021-01-04
  • MT RA
    APPROVED
    Since 2009-05-22

Branch Locations

875 Harmon Stream Blvd Suite 200, Bozeman, MT 59718 • 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 Bozeman MT 05/2009 Present
  • 05/2009 → Present
    Stifel Nicolaus & Co Inc
    Bozeman, MT
Previous Registrations
Other Businesses

1. D&K Palagi Trust;349 churn Cr Dr Bozeman MT 59715;property rental;trustee;receive rent and pay bills;3/1/19;0 hr/day;not during securities trading hours;investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-01
S63 Uniform Securities Agent State Law Examination 1983-11-05
  • S65 Uniform Investment Adviser Law Examination
    1992-08-01
  • S63 Uniform Securities Agent State Law Examination
    1983-11-05

View on SEC IAPD

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