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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 2022-01-20
TX RA APPROVED 2022-01-20
  • CO RA
    APPROVED
    Since 2022-01-20
  • TX RA
    APPROVED
    Since 2022-01-20

Branch Locations

102 South Tejon Street Suite 700, Colorado Springs, CO 80903 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwood Village CO 08/2017 01/2018
Walsh & Associates Burnsville MN 08/2013 08/2017
Bank Of America, N.A. Greenwood Village CO 01/2018 01/2022
Stifel Nicolaus & Co Inc Colorado Springs CO 01/2022 Present
  • 08/2017 → 01/2018
    Greenwood Village, CO
  • 08/2013 → 08/2017
    Walsh & Associates
    Burnsville, MN
  • 01/2018 → 01/2022
    Bank Of America, N.A.
    Greenwood Village, CO
  • 01/2022 → Present
    Stifel Nicolaus & Co Inc
    Colorado Springs, CO
Previous Registrations
Other Businesses

1. St Mary's High School, 2501 E. Yampa St, Colorado Springs, CO 80909; Assistant Football Coach; Teaching the game of football to high schoolers; 7/1/20; 5 hr/mo; Not During Securities Trading Hours; Not Investment Related. 2. St. Gabriel Classical Academy; 8755 Scarborough Dr Colorado Springs, CO 80920; Catholic School; Member of the SGCA Strategic Advisory Council; Providing guidance to the Pastor and Principal relating to the school's long term goals, plans and mission.; 11/22/2023; 3 hrs/month; Not during securities trading hours; Not Investment-Related 3. St. Gabriel Classical Academy; 4727 Coach House Dr Colorado Springs, CO 80920; Private School; President of SGCA School Advisory Council (SAC); Providing guidance to Pastor and Principal relating to the school's long-term goals, plans and mission; 07/21/2026; 3 hours/month; Not during securities trading hours; Not Investment-Related 4. St. Gabriel the Archangel Catholic Church; 8755 Scarborough Dr Colorado Springs, CO 80920; Catholic Church; Finance Council - Member; Providing guidance to the Pastor of St. Gabriel's relating to the parish's goals, plans and mission.; 07/28/2026; 2 hours/month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-21
  • S66 Uniform Combined State Law Examination
    2017-11-21
Other Names
  • Michael Garcia

View on SEC IAPD

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