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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2015-12-04
TX RA APPROVED_RES 2015-12-04
  • GA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED_RES
    Since 2015-12-04

Branch Locations

3630 Peachtree Road Ne, 4Th Floor, Atlanta, GA 30326 • 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 & Company, Incorporated St. Louis MO 12/2015 Present
Previous Registrations
  • 2011-05-04 → 2015-12-04
    Barclays Capital Inc.
    Atlanta, GA
  • 2003-01-16 → 2011-05-03
    Atlanta, GA
    Atlanta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-07-03
S63 Uniform Securities Agent State Law Examination 1984-12-05
  • S65 Uniform Investment Adviser Law Examination
    1991-07-03
  • S63 Uniform Securities Agent State Law Examination
    1984-12-05

View on SEC IAPD

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