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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2013-10-11
TX RA APPROVED 2013-10-11
  • IN RA
    APPROVED
    Since 2013-10-11
  • TX RA
    APPROVED
    Since 2013-10-11

Branch Locations

10550 Broadway, Crown Point, IN 46307 • 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 Crown Point IN 10/2013 Present
  • 10/2013 → Present
    Stifel Nicolaus
    Crown Point, IN
Previous Registrations
  • 2008-01-01 → 2013-10-14
    Merrillville, IN
  • 2005-11-03 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Merrillville, IN
    Merrillville, IN
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-02
S63 Uniform Securities Agent State Law Examination 1990-01-25
  • S66 Uniform Combined State Law Examination
    2005-11-02
  • S63 Uniform Securities Agent State Law Examination
    1990-01-25

View on SEC IAPD

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