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Steven Nan Gwon

Stifel, Nicolaus & Company, Incorporated

White Plains, NY

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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 2021-05-26
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

4 West Red Oak Lane, Suite 101, White Plains, NY 10604 • 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 & Company, Incorporated White Plains NY 07/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-21
S63 Uniform Securities Agent State Law Examination 1984-04-17
  • S65 Uniform Investment Adviser Law Examination
    2007-11-21
  • S63 Uniform Securities Agent State Law Examination
    1984-04-17

View on SEC IAPD

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