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Loy Loraine Gotham

Stifel, Nicolaus & Company, Incorporated

Virginia, MN

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-23
TX RA APPROVED_RES 2009-09-25
  • MN RA
    APPROVED
    Since 2013-12-23
  • TX RA
    APPROVED_RES
    Since 2009-09-25

Branch Locations

505 3Rd Street North Pob 962, Virginia, MN 55792 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Virginia MN 06/1985 Present
Stifel, Nicolaus & Company, Incorporated Virginia MN 09/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-10
S63 Uniform Securities Agent State Law Examination 1985-10-11
  • S65 Uniform Investment Adviser Law Examination
    1994-11-10
  • S63 Uniform Securities Agent State Law Examination
    1985-10-11
Other Names
  • Loy Loraine Roeser
  • Loy Loraine Roeser
  • Loy Loraine Gothan

View on SEC IAPD

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