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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-09-14
TX RA APPROVED 2021-09-13
  • FL RA
    APPROVED
    Since 2021-09-14
  • TX RA
    APPROVED
    Since 2021-09-13

Branch Locations

12800 University Drive Suite 300, Fort Myers, FL 33907 • United States

Disclosures

1 disclosure category 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 No
  • 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 Ft Myers FL 11/2011 09/2021
Stifel Nicolaus & Co Inc Fort Myers FL 09/2021 Present
Previous Registrations
  • 2011-11-28 → 2021-09-22
    Bonita Springs, FL
    Fort Myers, FL
  • 2009-10-23 → 2011-11-21
    Bonita Springs, FL
    Ft. Myers, FL
    Sarasota, FL
    Fort Myers, FL
  • 2005-05-31 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Ft. Myers, FL
    Ft. Myers, FL
  • 2000-07-14 → 2005-06-03
    Morgan Stanley Dw Inc.
    Ft. Myers, FL
Other Businesses

1. Snow Hill Enterprises LLLP: 10011 Isola Way, Miromar Lakes, FL Estate planning LLLP for investment account and farm land; General Partner; Manage assets and oversee expenses for farm land; 09/29/2021; 2 Hours per Week; Not During Securities Trading Hours; Investment-Related. 2. Market Square Capital LLC; 1001 Isola Way, Miromar Lakes, FL 33913 Asset protection; Managing Member; 12/04/2014; 2 Hours per Month; During Securities Trading Hours; Investment-Related. 3. See His Face Ministries; 3612 Evans Avenue, Fort Meyers, FL 33901; church; Board Member; 90 Minute Board Meeting every 3 months; 3/9/2024; 2 Hours per Quarter; Not during securities trading hours; Not Investment-Related 4. Southwest Florida Community Prayer Breakfast; 2271 McGregor Blvd Fort Myers FL 33901; annual community prayer breakfast that is free to the entire community; board member; attend board meetings/ give input on best way to promote this annual prayer breakfast; 03/28/2025; 2 hrs/month; Not during security trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-28
S63 Uniform Securities Agent State Law Examination 1986-02-21
  • S66 Uniform Combined State Law Examination
    2000-07-28
  • S63 Uniform Securities Agent State Law Examination
    1986-02-21

View on SEC IAPD

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