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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2001-11-05
  • MO RA
    APPROVED
    Since 2001-11-05

Branch Locations

2021 S. Lindbergh Blvd., Frontenac, MO 63131 • 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 St. Louis MO 11/2001 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-07
S63 Uniform Securities Agent State Law Examination 1984-01-25
  • S65 Uniform Investment Adviser Law Examination
    1999-12-07
  • S63 Uniform Securities Agent State Law Examination
    1984-01-25

View on SEC IAPD

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