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Kathy Ann Darcy

Stifel, Nicolaus & Company, Incorporated

Naperville, IL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-08-02
  • IL RA
    APPROVED
    Since 2023-08-02

Branch Locations

263 Shuman Blvd. Suite 130, Naperville, IL 60563 • 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
Willis Towers Watson New York NY 08/2013 03/2017
Foreside Fund Services, Llc Chicago IL 01/2014 03/2017
Unemployed Darien IL 03/2017 11/2017
Morgan Stanley Smith Barney Llc Oak Brook IL 11/2017 03/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 03/2019 07/2023
Stifel, Nicolaus & Company, Incorporated Naperville IL 07/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-06
  • S66 Uniform Combined State Law Examination
    2008-11-06
Other Names
  • Kathy Ann Darcy
  • Kathy Darcy

View on SEC IAPD

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