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Diane Rothberg

Stifel, Nicolaus & Company, Incorporated

Morristown, NJ

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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 2023-01-12
NJ RA APPROVED 2015-03-17
  • TX RA
    APPROVED
    Since 2023-01-12
  • NJ RA
    APPROVED
    Since 2015-03-17

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • 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 Florham Park NJ 03/2015 Present
  • 03/2015 → Present
    Stifel Nicolaus & Co Inc
    Florham Park, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-13
S63 Uniform Securities Agent State Law Examination 1989-11-03
  • S66 Uniform Combined State Law Examination
    2007-11-13
  • S63 Uniform Securities Agent State Law Examination
    1989-11-03
Designations
Other Names
  • Diane Wheaton Yeutter
  • Diane W Yeutter
  • Diane Yeutter Rothberg
  • Diane W. Yeutter
  • Diane Y Rothberg

View on SEC IAPD

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EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
KIELY CAPITAL MANAGEMENT, INC. · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
MML INVESTORS SERVICES, LLC · Morristown, NJ
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