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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-05-08
NY RA APPROVED 2021-05-26
TX RA APPROVED 2013-11-25
  • FL RA
    APPROVED
    Since 2025-05-08
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED
    Since 2013-11-25

Branch Locations

Vero Beach, FL • United States

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • 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 Yes
  • 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 Garden City NY 11/2013 Present
  • 11/2013 → Present
    Stifel Nicolaus & Co Inc
    Garden City, NY
Previous Registrations
Other Businesses

1. 103 BROAD STREET, LLC; 107 BROAD STREET WILLISTON PARK NY 11596;REAL ESTATE/HOME REFURBISHMENT;PARTNER; 50/50 PARTNER W/MY BROTHER IN LAW PUTTING UP THE MONEY; CASH INVESTMENTS; AFFILIATION STARTED 10/13/2014, 0 HOURS PER DAY, NOT DURING SECURITIES TRADING HOURS. 2. Metropolitan Golf Association; 49 Knollwood Road, Elmsford, NY 10523; Golf Association; President; Volunteer/Leadership; affiliation started 12/07/2016; 5.0 hours per month; not during securities trading hours; not investment-related. 3. Long Island Caddy Scholarship; 114 Old Country Road Mineola NY 11501; College Scholarships; President; Volunteer/ Leadership; affiliation started 01/21/2014; 5.0 hours per month; not during securities trading hours; not investment-related. 4. Lesley Cup; 49 Knollwood Road, Elmsford, NY 10523; Oldest team golf competition in North America involving four regional golf associations; One of three board members representing the Metropolitan Golf Association; One meeting and golf tournament per year; 01/01/2019; 8.00 Hour(s) Per Year; Not during securities trading hours; Not Investment-Related. 5. Dryvebox Inc; 6510 Millrock Drive, Ste 400, Salt Lake City, UT 84121; Golf Simulator technology; Advisor; Leverage golf contacts and expertise in the golf world; 06/15/2021; 1 Hour per Week; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-05
S63 Uniform Securities Agent State Law Examination 1984-08-29
  • S65 Uniform Investment Adviser Law Examination
    2025-05-05
  • S63 Uniform Securities Agent State Law Examination
    1984-08-29
Other Names
  • Michael Sullivan

View on SEC IAPD

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