Michael Duane Gronlund

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2014-04-29

TX RA
APPROVED

Since 2014-04-29

Branch Locations

14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co In	Scottsdale	AZ	04/2014	Present

04/2014 → Present

Stifel Nicolaus & Co In

Scottsdale, AZ

Previous Registrations

2013-10-15 → 2014-04-21

Ubs Financial Services Inc.

Phoenix, AZ
1992-10-02 → 2008-12-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Peoria, AZ

Other Businesses

1. Second Home Ownership Rental/Managed by a management company; 17750 Caldera Springs Drive Sunriver OR 97707; Renting out second home when they are not using it; Owns the property , then they rent it out through a management company; His wife and him owns the property; affiliation started 05/20/2014; 1.0 hour per day; not during securities trading hours; not investment-related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-09-04
S63	Uniform Securities Agent State Law Examination	1986-10-15

S65 Uniform Investment Adviser Law Examination

1992-09-04
S63 Uniform Securities Agent State Law Examination

1986-10-15

View on SEC IAPD