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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
  • CA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 2015-12-04

Branch Locations

1111 A Street, San Rafael, CA 94901 • United States

One Montgomery Street Suites 3300, 3500, 3600, & 3700, San Francisco, CA 94104 • 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 & Company, Incorporated St. Louis MO 12/2015 Present
Previous Registrations
  • 2010-12-13 → 2015-12-04
    Barclays Capital Inc.
    San Francisco, CA
  • 2004-12-15 → 2011-01-07
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
    San Francisco, CA
  • 2004-05-04 → 2004-12-17
    Lehman Brothers Inc.
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-06-21
  • S66 Uniform Combined State Law Examination
    1999-06-21

View on SEC IAPD

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