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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2018-09-12
TX RA APPROVED_RES 2018-09-12
  • TN RA
    APPROVED
    Since 2018-09-12
  • TX RA
    APPROVED_RES
    Since 2018-09-12

Branch Locations

6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119 • 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
Wells Fargo Advisors Llc Memphis TN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Memphis TN 11/2016 09/2018
Stifel Nicolaus & Co Inc Memphis TN 09/2018 Present
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Memphis, TN
  • 11/2016 → 09/2018
    Memphis, TN
  • 09/2018 → Present
    Stifel Nicolaus & Co Inc
    Memphis, TN
Previous Registrations
Other Businesses

Trustee - Family related account

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-05-27
  • S63 Uniform Securities Agent State Law Examination
    1986-05-27

View on SEC IAPD

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