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Stephen George Mitchell

Stifel, Nicolaus & Company, Incorporated

Hunt Valley, MD

Bluffton, SC

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-12-16
TX RA APPROVED_RES 2019-04-18
MD RA APPROVED 2008-07-31
  • SC RA
    APPROVED
    Since 2024-12-16
  • TX RA
    APPROVED_RES
    Since 2019-04-18
  • MD RA
    APPROVED
    Since 2008-07-31

Branch Locations

303 International Circle Suite 590, Hunt Valley, MD 21030 • United States

Bluffton, SC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Bel Air MD 07/2008 Present
  • 07/2008 → Present
    Stifel Nicolaus & Co Inc
    Bel Air, MD
Previous Registrations
  • 2008-01-01 → 2008-08-20
    Wells Fargo Clearing Services, Llc
    Hunt Valley, MD
    Hunt Valley, MD
  • 1999-08-17 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Hunt Valley, MD
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-26
S63 Uniform Securities Agent State Law Examination 1989-10-27
  • S65 Uniform Investment Adviser Law Examination
    1999-07-26
  • S63 Uniform Securities Agent State Law Examination
    1989-10-27

View on SEC IAPD

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Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD
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GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD
MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD
BUSH RIVER TRUST, LLC · HUNT VALLEY, MD
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