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Thomas Joseph Thives

Stifel, Nicolaus & Company, Incorporated

Morristown, NJ

Ramsey, NJ

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-04-12
  • NJ RA
    APPROVED
    Since 2018-04-12

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

107 Spring Street, Suite 100, Ramsey, NJ 07446 • 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
Wells Fargo Advisors Llc Florham Park NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Florham Park NJ 11/2016 04/2018
Stifel Nicolaus & Co Inc Florham Park NJ 04/2018 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Florham Park, NJ
  • 11/2016 → 04/2018
    Wells Fargo Clearing Services, Llc
    Florham Park, NJ
  • 04/2018 → Present
    Stifel Nicolaus & Co Inc
    Florham Park, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-04-10
S63 Uniform Securities Agent State Law Examination 1984-02-01
  • S65 Uniform Investment Adviser Law Examination
    2000-04-10
  • S63 Uniform Securities Agent State Law Examination
    1984-02-01

View on SEC IAPD

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Other Offices

EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
KIELY CAPITAL MANAGEMENT, INC. · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
MML INVESTORS SERVICES, LLC · Morristown, NJ
EQUITABLE ADVISORS, LLC · MORRISTOWN, NJ
HIMCO, LLC · MORRISTOWN, NJ

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