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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 2015-03-17
MI RA APPROVED 2015-02-12
TX RA APPROVED_RES 2015-02-09
  • FL RA
    APPROVED
    Since 2015-03-17
  • MI RA
    APPROVED
    Since 2015-02-12
  • TX RA
    APPROVED_RES
    Since 2015-02-09

Branch Locations

Cape Coral, FL • United States

4097 Hollywood Road, St. Joseph, MI 49085 • 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 & Co Inc St. Joseph MI 02/2015 Present
  • 02/2015 → Present
    Stifel Nicolaus & Co Inc
    St. Joseph, MI
Previous Registrations
Other Businesses

1. Lake Runner ABB LLC; 6885 Hill Rd, Coloma, MI 49038; Boat Storage; Owner/President; operate on my personal land/barns. Store boats on trailers; 09/21/2020; 5hrs/mth; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-27
S63 Uniform Securities Agent State Law Examination 1986-04-18
  • S66 Uniform Combined State Law Examination
    2004-07-27
  • S63 Uniform Securities Agent State Law Examination
    1986-04-18

View on SEC IAPD

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