Thomas Joseph Cotrone

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Oklahoma City, OK
• 11/2016 → 09/2018
  Wells Fargo Clearing Services, Llc
  Oklahoma City, OK
• 09/2018 → Present
  Stifel Nicolaus & Co Inc
  Oklahoma City, OK

Previous Registrations

• 2008-01-01 → 2018-09-11
  Wells Fargo Clearing Services, Llc
  Oklahoma City, OK
• 2002-07-17 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Oklahoma City, OK
  Oklahoma City, OK
  St. Louis, MO
• 1994-07-21 → 2002-08-05
  Prudential Equity Group, Llc
  Oklahoma City, OK
• 2002-07-12 → 2002-08-01
  Ubs Financial Services Inc.
  Oklahoma City, OK

Other Businesses

FINRA; INVESTMENT RELATED; WASHINGTON, DC; ARBITRATOR; 03/11/1998; 10.00 Hour(s) Per Year - may be during securities trading hours;

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-06-14
• S63 Uniform Securities Agent State Law Examination
  1986-11-14

Other Names

• Thomas Joseph Cotrone