Gary Steven Brochin

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-05-24
FL	RA	APPROVED	2017-01-05
GA	RA	APPROVED	2016-06-01

TX RA
APPROVED_RES

Since 2021-05-24
FL RA
APPROVED

Since 2017-01-05
GA RA
APPROVED

Since 2016-06-01

Branch Locations

3630 Peachtree Road Ne, 4Th Floor, Atlanta, GA 30326 • United States

2 North Tamiami Trail, Sarasota, FL 34236 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Stifel Nocilaus & Co Inc	Atlanta	GA	05/2016	Present

05/2016 → Present

Stifel Nocilaus & Co Inc

Atlanta, GA

Previous Registrations

2015-02-10 → 2016-06-01

B. Riley Wealth Management

New York, NY

Atlanta, GA

Atlanta, GA

Memphis, TN
2006-06-26 → 2015-01-26

Dominick & Dickerman Llc

Atlanta, GA

Atlanta, GA

New York, NY
2005-06-30 → 2006-06-09

Truist Investment Services, Inc.

Atlanta, GA

Atlanta, GA
2002-11-04 → 2005-07-15

Truist Securities, Inc.

Atlanta, GA
2002-07-26 → 2002-11-12

Pershing Llc

Atlanta, GA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1991-12-12
S63	Uniform Securities Agent State Law Examination	1985-05-17

S65 Uniform Investment Adviser Law Examination

1991-12-12
S63 Uniform Securities Agent State Law Examination

1985-05-17

Other Names

Gary Brochin

View on SEC IAPD