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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 2025-08-19
  • TX RA
    APPROVED_RES
    Since 2025-08-19

Branch Locations

Firefly Professional Bldg., 105 Route 137 Unit A, East Harwich, MA 02645 • 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
Wells Fargo Advisors Llc Hyannis MA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hyannis MA 11/2016 03/2022
Stifel Nicolaus & Co Inc Hyannis MA 03/2022 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Hyannis, MA
  • 11/2016 → 03/2022
    Hyannis, MA
  • 03/2022 → Present
    Stifel Nicolaus & Co Inc
    Hyannis, MA
Previous Registrations
Other Businesses

1. Four Owls, LLC; 41 Coventry Lane West Barnstable MA 02668; Income from rental property; Owner; Landlord of rental property; 01/11/2022; 25hrs/year; Not during securities trading hours; Investment-Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-01-24
  • S63 Uniform Securities Agent State Law Examination
    1985-01-24
Other Names
  • Bob Sullivan

View on SEC IAPD

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