Search for: "STIFEL, NICOLAUS & COMPANY, INC."
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4 Apr 2021, 12:00 pm
From 2015 through 2017, Carrick was registered with Stifel, Nicolaus & Company, Inc. [read post]
19 Feb 2021, 7:40 am
Stifel, Nicolaus & Company, Incorporated Sterne, Agee & Leach, Inc. [read post]
23 Nov 2020, 12:00 pm
He was registered with Stifel, Nicolaus & Company, Inc. [read post]
14 Sep 2020, 7:14 am
Starting November 2011 to January 2020 Steven Rodemer was registered with Stifel, Nicholaus & Company, Inc as a Securities Representative and worked there for 8 years. [read post]
14 Sep 2020, 7:14 am
Starting November 2011 to January 2020 Steven Rodemer was registered with Stifel, Nicholaus & Company, Inc as a Securities Representative and worked there for 8 years. [read post]
3 Aug 2020, 1:36 pm
Hutton & Company Inc. [read post]
28 May 2020, 12:52 pm
The post Stifel Nicolaus & Co. [read post]
31 Mar 2020, 6:02 am
Donald Padilla National Securities Corporation Kestra Investment Services, LLC Thomas Polston Stifel, Nicolaus & Company, Incorporated Advest, Inc. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement accounts, also… [read post]
23 Jan 2019, 1:25 pm
Patrick McLaughlin has worked with Stifel, Nicolaus & Company, Inc. in Boca Raton, Florida since November 21, 2008, FINRA notes. [read post]
12 Jan 2019, 6:06 am
According to BrokerCheck records financial advisor Lynn Faust (Faust), currently employed by Stifel, Nicolaus & Company, Inc. [read post]
28 Sep 2018, 3:00 am
DiMaria, the ex-CFO of Bankrate Inc., to 10 years in prison. [read post]
21 Aug 2018, 1:21 pm
Broker Robert Cleary (CRD #1505792) is a currently registered broker with Stifel, Nicolaus & Company, Incorporated (CRD #793) of New York, NY, since 2007. [read post]
3 Aug 2018, 6:49 am
From 1998 until July 2010 Klug was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
20 Jul 2018, 7:18 am
Former broker and investment advisor Mitchell Toby Yanow (CRD #2148171) was last employed by Stifel, Nicolaus & Company, Incorporated (CRD #793) of Boca Raton, FL. [read post]
28 Jun 2018, 1:00 pm
” His previous employers include Stifel, Nicolaus & Company, Incorporated (CRD #793), also of Dayton, OH; First Union Securities, Inc. [read post]
17 May 2018, 1:47 pm
Schmidt was previously employed at Stifel, Nicolaus & Company, Inc. from 2002 to 2006 and Wachovia Securities Financial Network LLC. from 2006 to 2009 until they merged with Wells Fargo. [read post]
11 May 2018, 1:47 pm
Krueger II was previously employed at Stifel, Nicolaus & Co., Inc. from 2001 to 2015. [read post]
