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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 2020-01-13
CA RA APPROVED 2009-04-07
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • CA RA
    APPROVED
    Since 2009-04-07

Branch Locations

5780 Fleet Street, Suite 250, Carlsbad, CA 92008 • 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 San Juan Capistrano CA 04/2009 Present
  • 04/2009 → Present
    Stifel Nicolaus & Co Inc
    San Juan Capistrano, CA
Previous Registrations
Other Businesses

1. Montrose LLP; Carlsbad, CA; Real Estate Property in Costa Rica - 20% owner; 04/01/2008; 0.00 Hour(s) Per Day - not during securities trading hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-17
S63 Uniform Securities Agent State Law Examination 1985-10-09
  • S65 Uniform Investment Adviser Law Examination
    1992-07-17
  • S63 Uniform Securities Agent State Law Examination
    1985-10-09

View on SEC IAPD

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