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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-24
TX RA APPROVED_RES 2019-03-13
  • NY RA
    APPROVED
    Since 2021-11-24
  • TX RA
    APPROVED_RES
    Since 2019-03-13

Branch Locations

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Garden City NY 01/2014 Present
Other Businesses

1. Yeshive Bachurei Chemed; 659 Arbuckle Ave, Woodmere, NY 11598; Trustee for non-profit; Disperse funds to Isreal; 06/03/2020; 1 Hour per Quarter; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-23
S63 Uniform Securities Agent State Law Examination 1984-01-19
  • S65 Uniform Investment Adviser Law Examination
    2021-11-23
  • S63 Uniform Securities Agent State Law Examination
    1984-01-19
Other Names
  • Francine Wiener

View on SEC IAPD

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