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Maurice James Griffin

Stifel, Nicolaus & Company, Incorporated

Lake Forest, IL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2014-09-03
  • IL RA
    APPROVED
    Since 2014-09-03

Branch Locations

100 North Field Drive, Suite 340, Lake Forest, IL 60045 • 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 & Co Inc Lake Forest IL 09/2014 Present
  • 09/2014 → Present
    Stifel Nicolaus & Co Inc
    Lake Forest, IL
Previous Registrations
  • 2008-01-01 → 2014-09-04
    Wells Fargo Clearing Services, Llc
    Lake Forest, IL
  • 2004-10-21 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Lake Forest, IL
    Lake Forest, IL
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-06
S63 Uniform Securities Agent State Law Examination 1986-01-31
  • S66 Uniform Combined State Law Examination
    2006-03-06
  • S63 Uniform Securities Agent State Law Examination
    1986-01-31
Other Names
  • Maurice James Griffin

View on SEC IAPD

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BUSS CAPITAL MANAGEMENT, LLC
ISTO ADVISORS, LLC
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC
ROUNDTABLE HEALTHCARE MANAGEMENT, INC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OBAR WEALTH MANAGEMENT LLC
EDWARD JONES

Other Investors

Allison Marie Ockwood
Kevin G. Rieger
Tommy Pirvu
Nicole Teresa Simmons
DUSTIN L WHITE
Michael John Brady
Samantha Pelligrino McGuire
CAROL H. BUSS

Other Offices

J.P. MORGAN SECURITIES LLC · LAKE FOREST, IL
BUSS CAPITAL MANAGEMENT, LLC · LAKE FOREST, IL
ISTO ADVISORS, LLC · Lake Forest, IL
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC · Lake Forest, IL
ROUNDTABLE HEALTHCARE MANAGEMENT, INC · LAKE FOREST, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Lake Forest, IL
OBAR WEALTH MANAGEMENT LLC · LAKE FOREST, IL
EDWARD JONES · LAKE FOREST, IL

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