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Kathy Francine Daly

Stifel, Nicolaus & Company, Incorporated

Indianapolis, IN

Muncie, IN

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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_RES 2020-11-03
IN RA APPROVED 2017-02-28
  • TX RA
    APPROVED_RES
    Since 2020-11-03
  • IN RA
    APPROVED
    Since 2017-02-28

Branch Locations

8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • United States

3591 North Briarwood Lane, Muncie, IN 47304 • 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
City Securities Corporation Muncie IN 04/2004 02/2017
Stifel, Nicolaus & Company, Incorporated Muncie IN 02/2017 Present
Previous Registrations
  • 2004-04-14 → 2017-02-28
    City Securities Corporation
    Muncie, IN
    Indianapolis, IN
    Muncie, IN
  • 2002-07-30 → 2004-04-15
    Natcity Investments, Inc.
    Muncie, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-06
S63 Uniform Securities Agent State Law Examination 1985-08-27
  • S65 Uniform Investment Adviser Law Examination
    2000-09-06
  • S63 Uniform Securities Agent State Law Examination
    1985-08-27

View on SEC IAPD

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