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Joseph Wilson Rotta

Stifel, Nicolaus & Company, Incorporated

Carlsbad, CA

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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 2016-08-26
CA RA APPROVED 2009-05-21
  • TX RA
    APPROVED
    Since 2016-08-26
  • CA RA
    APPROVED
    Since 2009-05-21

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 Carlsbad CA 05/2009 Present
  • 05/2009 → Present
    Stifel Nicolaus & Co Inc
    Carlsbad, CA
Previous Registrations
  • 2008-01-01 → 2009-05-20
    Wells Fargo Clearing Services, Llc
    Escondido, CA
  • 1997-07-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Escondido, CA
    Escondido, CA
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-09-11
  • S63 Uniform Securities Agent State Law Examination
    1986-09-11
Designations

View on SEC IAPD

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CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
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