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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2020-06-22
TX RA APPROVED 2020-06-22
  • IN RA
    APPROVED
    Since 2020-06-22
  • TX RA
    APPROVED
    Since 2020-06-22

Branch Locations

800 Main Street Suite 400, Anderson, IN 46016 • 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
Wells Fargo Advisors Llc Anderson IN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Anderson IN 11/2016 06/2020
Stifel Nicolaus & Co Inc Anderson IN 06/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Anderson, IN
  • 11/2016 → 06/2020
    Anderson, IN
  • 06/2020 → Present
    Stifel Nicolaus & Co Inc
    Anderson, IN
Previous Registrations
  • 2008-01-01 → 2020-06-23
    Anderson, IN
    Anderson, IN
  • 2002-06-07 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Anderson, IN
    St. Louis, MO
  • 1998-12-10 → 2002-06-14
    Prudential Equity Group, Llc
    Anderson, IN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-12-02
  • S63 Uniform Securities Agent State Law Examination
    1985-12-02
Designations

View on SEC IAPD

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