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Thomas Ray Schmidt

Stifel, Nicolaus & Company, Incorporated

St Louis, MO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2016-09-16
TX RA APPROVED_RES 2016-09-15
  • MO RA
    APPROVED
    Since 2016-09-16
  • TX RA
    APPROVED_RES
    Since 2016-09-15

Branch Locations

520 Maryville Centre Drive Suite 410, St Louis, MO 63141 • 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 Saint Louis MO 05/2009 09/2016
Stifel Nicolaus & Co Inc Chesterfield MO 09/2016 Present
  • 05/2009 → 09/2016
    Wells Fargo Advisors Llc
    Saint Louis, MO
  • 09/2016 → Present
    Stifel Nicolaus & Co Inc
    Chesterfield, MO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-10
S63 Uniform Securities Agent State Law Examination 1985-03-25
  • S65 Uniform Investment Adviser Law Examination
    1994-05-10
  • S63 Uniform Securities Agent State Law Examination
    1985-03-25
Other Names
  • Thomas R Schmidt

View on SEC IAPD

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