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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 2021-01-29
  • TX RA
    APPROVED
    Since 2021-01-29

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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
Bank Of America, Na Dallas TX 01/2010 01/2021
Stifel Nicolaus & Co Inc Dallas TX 01/2021 Present
  • 01/2010 → 01/2021
    Bank Of America, Na
    Dallas, TX
  • 01/2021 → Present
    Stifel Nicolaus & Co Inc
    Dallas, TX
Previous Registrations
Other Businesses

1. Boat Rental; Greenbriar, TX 75225; Owner; 9/15/23; 0 hr/day; Not During Securities Trading Hours; Not Investment Related. 2. Salesmanship Club of Dallas; 106 E. 10th st. Dallas TX 75203-2296; Charity; a board member on the Foundation; review finances and performance of the Foundation investments; 09/01/2024; 3.00hrs/quarter; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-30
S63 Uniform Securities Agent State Law Examination 1984-03-29
  • S66 Uniform Combined State Law Examination
    2009-08-30
  • S63 Uniform Securities Agent State Law Examination
    1984-03-29

View on SEC IAPD

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