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Harry L Goldsmith

Stifel, Nicolaus & Company, Incorporated

Hauppauge, NY

Aventura, FL

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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 2024-07-31
FL RA APPROVED 2024-05-31
NY RA APPROVED 2021-05-26
NC RA APPROVED 2010-03-17
  • TX RA
    APPROVED
    Since 2024-07-31
  • FL RA
    APPROVED
    Since 2024-05-31
  • NY RA
    APPROVED
    Since 2021-05-26
  • NC RA
    APPROVED
    Since 2010-03-17

Branch Locations

1393 Veterans Memorial Highway Suite N214, Hauppauge, NY 11788 • United States

Aventura, FL • 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 & Co Inc Hauppauge NY 03/2010 Present
  • 03/2010 → Present
    Stifel Nicolaus & Co Inc
    Hauppauge, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-24
S63 Uniform Securities Agent State Law Examination 1986-08-15
  • S65 Uniform Investment Adviser Law Examination
    1997-02-24
  • S63 Uniform Securities Agent State Law Examination
    1986-08-15
Designations
Other Names
  • Harry Lee Goldsmith
  • Harry Goldsmith
  • Harold Lee Goldsmith

View on SEC IAPD

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