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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2011-10-05
  • HI RA
    APPROVED
    Since 2011-10-05

Branch Locations

1099 Alakea Street Suite 1510, Honolulu, HI 96813 • 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 Honolulu HI 07/2011 Present
Other Businesses

1. Island Insurance; 828 Fort Street Mall, 4th Floor Honolulu, HI 96813 Property & Casualty Company; Chairman of the Island Insurance Investment Committee; Oversee the management of the company's portfolio; 09/07/2011; 8 Hours per Year; During Securities Trading Hours; Investment-Related. 2. ISLAND INSURANCE; 828 Fort Street Mall, 4th Floor Honolulu, HI 96813; PROPERTY & CASUALTY COMPANY; BOARD MEMBER; BOARD OVERSIGHT RESPONSIBILITES; 01/01/2018; 16 HOURS PER YEAR; DURING SECURITIES TRADING HOURS; INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-04
S63 Uniform Securities Agent State Law Examination 1991-05-22
  • S66 Uniform Combined State Law Examination
    2011-10-04
  • S63 Uniform Securities Agent State Law Examination
    1991-05-22

View on SEC IAPD

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