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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 2026-03-27
IN RA APPROVED 2009-01-07
  • TX RA
    APPROVED_RES
    Since 2026-03-27
  • IN RA
    APPROVED
    Since 2009-01-07

Branch Locations

2801 East Camelback Road, Phoenix, AZ 85016 • 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 Phoenix AZ 01/2009 Present
  • 01/2009 → Present
    Stifel Nicolaus & Co Inc
    Phoenix, AZ
Previous Registrations
  • 2008-01-01 → 2009-01-22
    Scottsdale, AZ
    Scottsdale, AZ
  • 2004-03-18 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Scottsdale, AZ
    Scottsdale, AZ
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-02
S63 Uniform Securities Agent State Law Examination 1986-10-09
  • S65 Uniform Investment Adviser Law Examination
    1992-06-02
  • S63 Uniform Securities Agent State Law Examination
    1986-10-09

View on SEC IAPD

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