Thomas John Kelley

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2018-01-11
WI	RA	APPROVED	2007-08-31

TX RA
APPROVED

Since 2018-01-11
WI RA
APPROVED

Since 2007-08-31

Branch Locations

1249 W. Liebau Road, Suite 250, Mequon, WI 53092 • 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

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Mequon	WI	08/2007	Present

08/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Mequon, WI

Other Businesses

1. ST MICHAEL'S PARISH; 1445 N 24TH ST MILWAUKEE WI 53205; RELIGIOUS ORGANIZATION; FINANCE COMMITTEE CHAIR; ADVISE PASTOR AT QUARTERLY MEETINGS; 2 HOURS PER QUARTER; NOT DURING SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-11-15
S63	Uniform Securities Agent State Law Examination	1986-01-23

S65 Uniform Investment Adviser Law Examination

2007-11-15
S63 Uniform Securities Agent State Law Examination

1986-01-23

Designations

View on SEC IAPD

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

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