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Brenda Smith Falkenstein

Stifel, Nicolaus & Company, Incorporated

Louisville, KY

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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 2022-07-07
IN RA APPROVED 2022-01-10
KY RA APPROVED 2007-07-26
  • TX RA
    APPROVED_RES
    Since 2022-07-07
  • IN RA
    APPROVED
    Since 2022-01-10
  • KY RA
    APPROVED
    Since 2007-07-26

Branch Locations

600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • 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 & Company, Incorporated Louisville KY 07/2007 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-01
S63 Uniform Securities Agent State Law Examination 1988-05-12
  • S65 Uniform Investment Adviser Law Examination
    2007-09-01
  • S63 Uniform Securities Agent State Law Examination
    1988-05-12
Other Names
  • Brenda Kathryn Falkenstein
  • Brenda Kathryn Smith

View on SEC IAPD

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