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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 2020-01-14
WI RA APPROVED 2018-03-16
  • TX RA
    APPROVED_RES
    Since 2020-01-14
  • WI RA
    APPROVED
    Since 2018-03-16

Branch Locations

One Corporate Drive Suite 602, Wausau, WI 54401 • United States

4321 W. College Ave, Berbee Building, Appleton, WI 54914 • 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
B.C. Ziegler And Company Wausau WI 03/2012 03/2018
Stifel, Nicolaus & Company, Incorporated Wausau WI 03/2018 Present
Previous Registrations
  • 2006-09-08 → 2018-03-16
    B. C. Ziegler And Company
    Wausau, WI
    Chicago, IL
Other Businesses

1. Merrill Golf Booster Club; 1604 O Day St Merrill WI 54452; Non profit to help support the Merrill Golf programs. Junior Golf, High School Golf, etc; Vice President; Secondary signer on the booster club checking account; 11/15/2016; 2.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-07
  • S66 Uniform Combined State Law Examination
    2006-09-07

View on SEC IAPD

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