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Barry Thomas Compton

Stifel, Nicolaus & Company, Incorporated

Richmond, VT

Altoona, PA

Johnstown, PA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2021-02-08
TX RA APPROVED_RES 2020-11-03
PA RA APPROVED 2009-10-08
  • VT RA
    APPROVED
    Since 2021-02-08
  • TX RA
    APPROVED_RES
    Since 2020-11-03
  • PA RA
    APPROVED
    Since 2009-10-08

Branch Locations

Richmond, VT • United States

180 Charlotte Drive Suite 100, Altoona, PA 16601 • United States

1407 Eisenhower Blvd. Richland Sq. Ii Suite 101, Johnstown, PA 15904 • 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
Ubs Financial Services Inc. Johnstown PA 01/2001 Present
Stifel, Nicolaus & Company, Incorporated Johnstown PA 09/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-01
S63 Uniform Securities Agent State Law Examination 1984-07-25
  • S65 Uniform Investment Adviser Law Examination
    1999-11-01
  • S63 Uniform Securities Agent State Law Examination
    1984-07-25

View on SEC IAPD

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