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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-04-25
NY RA APPROVED 2021-05-26
CA RA APPROVED 2018-03-09
  • NJ RA
    APPROVED
    Since 2022-04-25
  • NY RA
    APPROVED
    Since 2021-05-26
  • CA RA
    APPROVED
    Since 2018-03-09

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • 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
Pruco Securities Llc Irvine CA 04/2016 01/2018
The Prudential Insurance Company Of America Irvine CA 05/2016 01/2018
Stifel Nicolaus & Co Inc New York NY 03/2018 Present
  • 04/2016 → 01/2018
    Irvine, CA
  • 05/2016 → 01/2018
    The Prudential Insurance Company Of America
    Irvine, CA
  • 03/2018 → Present
    Stifel Nicolaus & Co Inc
    New York, NY
Previous Registrations
Other Businesses

1. Rental Property; 177-214 Mitchell Rd, Erskinville, Australia; owner; 5/13/24; 0 hr/day; Not During Securities Trading Hours; Investment Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-31
S63 Uniform Securities Agent State Law Examination 1989-06-22
  • S65 Uniform Investment Adviser Law Examination
    2017-10-31
  • S63 Uniform Securities Agent State Law Examination
    1989-06-22
Other Names
  • Donald Peter Frio
  • Donald Frio
  • Donald Peter Frio

View on SEC IAPD

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