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Thomas Emory Ward

Stifel, Nicolaus & Company, Incorporated

Birmingham, AL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-04-17
AL RA APPROVED 2015-07-07
  • TX RA
    APPROVED_RES
    Since 2018-04-17
  • AL RA
    APPROVED
    Since 2015-07-07

Branch Locations

800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209 • 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 & Company, Incorporated St. Louis MO 07/2015 Present
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Previous Registrations
  • 2005-03-11 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2003-04-10 → 2007-01-03
    Sterne, Agee & Leach, Inc.
    Birmingham, AL
    Birmingham, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1986-07-18
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1986-07-18
Other Names
  • Tommy Ward

View on SEC IAPD

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Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

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