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Karl Christian Slivon

Stifel, Nicolaus & Company, Incorporated

Greenwood Village, CO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-09-11
TX RA APPROVED 2020-09-11
  • CO RA
    APPROVED
    Since 2020-09-11
  • TX RA
    APPROVED
    Since 2020-09-11

Branch Locations

6312 S Fiddlers Green Circle Suite 520E, Greenwood Village, CO 80111 • 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
Coker & Palmer New Orleans LA 07/2017 12/2017
Norman Liquidity Norman OK 01/2016 12/2016
None Clark CO 01/2017 06/2017
None New Orleans LA 01/2018 02/2018
Wells Fargo Securities, Llc San Francisco CA 03/2018 06/2020
Stifel Nicolaus & Co Inc San Francisco CA 06/2020 Present
  • 07/2017 → 12/2017
    Coker & Palmer
    New Orleans, LA
  • 01/2016 → 12/2016
    Norman Liquidity
    Norman, OK
  • 01/2017 → 06/2017
    None
    Clark, CO
  • 01/2018 → 02/2018
    None
    New Orleans, LA
  • 03/2018 → 06/2020
    Wells Fargo Securities, Llc
    San Francisco, CA
  • 06/2020 → Present
    Stifel Nicolaus & Co Inc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-07-22
S63 Uniform Securities Agent State Law Examination 2017-12-14
  • S65 Uniform Investment Adviser Law Examination
    2020-07-22
  • S63 Uniform Securities Agent State Law Examination
    2017-12-14
Other Names
  • Karl Christian Slivon
  • Karl Slivon

View on SEC IAPD

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Other Offices

DODDS WEALTH, LLC · GREENWOOD VILLAGE, CO
MARSHALL INVESTMENT MANAGEMENT, LLC · GREENWOOD VILLAGE, CO
AXS CAPITAL, LLC · GREENWOOD VILLAGE, CO
MORGAN STANLEY · Greenwood Village, CO
RBC CAPITAL MARKETS, LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
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