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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_RES 2020-01-13
FL RA APPROVED 2009-03-27
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • FL RA
    APPROVED
    Since 2009-03-27

Branch Locations

3150 Cardinal Drive Suite 101, Vero Beach, FL 32963 • 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 Vero Beach FL 03/2009 Present
  • 03/2009 → Present
    Stifel Nicolaus & Co Inc
    Vero Beach, FL
Previous Registrations
  • 2009-01-31 → 2009-03-10
    Stanford Group Company
    Vero Beach, FL
  • 2008-01-01 → 2009-01-26
    Vero Beach, FL
  • 1994-07-18 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Vero Beach, FL
    St. Louis, MO
Other Businesses

1. BANJO LLC; 4665 Pebble Bay S Vero Beach FL 32963; - owner; Hold vacant land; 1/1/2015; 2 hours per year; not during securities trading hours; inv related 2. Cowabunga Inc;3585 Trotter Dr Alparetta GA 30004;Dominos Pizza Franchise;Dominos Pizza Franchise;Two meetings/year - provide input to owner, leadership team;4/16/19;6.00 Hour(s) Per Quarter; during securities trading hours;not investment related. 3. Trustee - Family Trusts. 4. Indian River County Florida Environmental Lands Acquisition Panel; 1801 27th Street Vero Beach, FL 32960; Advisory Board to assist county commission in selecting environmental important lands for preservation; Panel member; Quarterly meetings to prioritize environmentally important lands; 08/15/2023; 6 hrs/quarter; Not during securities trading hours; Not Investment-Related 5. ASLO Association for the Sciences of Limnology and Oceanography; 1120 20th Street NW Suite 750 Washington DC 20036; Scientific Association; Member of Finance Committee; Review finances and finance policies make recommendations when appropriate; 12/29/2025; 12hrs/yr; During securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-24
S63 Uniform Securities Agent State Law Examination 1984-11-02
  • S65 Uniform Investment Adviser Law Examination
    1993-09-24
  • S63 Uniform Securities Agent State Law Examination
    1984-11-02

View on SEC IAPD

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