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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2009-09-25
TX RA APPROVED_RES 2009-09-25
  • GA RA
    APPROVED
    Since 2009-09-25
  • TX RA
    APPROVED_RES
    Since 2009-09-25

Branch Locations

15 Lake Street Suite 140, Savannah, GA 31411 • 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
Stifel, Nicolaus & Company, Incorporated Savannah GA 09/2009 Present
Previous Registrations
Other Businesses

VILLAGE BARBER - OWNER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-06
S63 Uniform Securities Agent State Law Examination 1986-05-07
  • S65 Uniform Investment Adviser Law Examination
    1994-12-06
  • S63 Uniform Securities Agent State Law Examination
    1986-05-07
Other Names
  • David Thomson

View on SEC IAPD

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