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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-07-30
TX RA APPROVED_RES 2019-07-30
  • NJ RA
    APPROVED
    Since 2019-07-30
  • TX RA
    APPROVED_RES
    Since 2019-07-30

Branch Locations

433 Hackensack Avenue 8Th Floor, Hackensack, NJ 07601 • 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
Rbc Capital Markets Corporation West Paterson NJ 03/2008 07/2019
Stifel Nicolaus & Co Inc Hackensack NJ 07/2019 Present
  • 03/2008 → 07/2019
    Rbc Capital Markets Corporation
    West Paterson, NJ
  • 07/2019 → Present
    Stifel Nicolaus & Co Inc
    Hackensack, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-10
S63 Uniform Securities Agent State Law Examination 1998-12-14
  • S66 Uniform Combined State Law Examination
    2015-08-10
  • S63 Uniform Securities Agent State Law Examination
    1998-12-14
Other Names
  • Dawn Young

View on SEC IAPD

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