Cory Hargrave

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-05-26

TX RA
APPROVED

Since 2020-05-26

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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

Organization	City	State	From	To
Bank Of America,N.A.	Dallas	TX	06/2011	05/2020
Stifel Nicolaus & Co Inc	Dallas	TX	05/2020	Present

06/2011 → 05/2020

Bank Of America,N.A.

Dallas, TX
05/2020 → Present

Stifel Nicolaus & Co Inc

Dallas, TX

Previous Registrations

2009-10-23 → 2020-05-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Dallas, TX
2008-05-13 → 2009-10-23

Banc Of America Investment Services, Inc.

Dallas, TX
1999-12-13 → 2008-05-14

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Irving, TX

Dallas, TX

Other Businesses

1. Aggie Lobo, LLC; 12019 Whitman Lane Dallas, TX 75230; it's an LLC i personally opened up for tax purposes for an RV I personally bought. will be running expenses out of it; President. sole owner/manager; pay expenses for my RV; 02/13/2026; 1hr/mth; Not during securities trading hours; Not investment related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-12-10

S66 Uniform Combined State Law Examination

1999-12-10

Other Names

Cory J Hargrave
Cory James Hargrave
Cory Hargrave

View on SEC IAPD