Search for: "Stifel, Nicolaus & Company, Inc."
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19 Apr 2024, 1:23 pm
David Morris Stifel, Nicolaus & Company UBS Financial Services Inc. [read post]
17 Mar 2024, 7:14 pm
Stifel Nicolaus & Co Inc. [read post]
31 Jan 2024, 11:31 am
– $13.5 million, Stifel Nicolaus & Company, Inc. [read post]
28 Sep 2023, 1:18 pm
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. [read post]
28 Sep 2023, 1:18 pm
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. [read post]
28 Sep 2023, 1:18 pm
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. [read post]
1 Sep 2023, 6:07 am
Chuck Roberts (CRD# 2064602) is a registered broker and investment advisor currently employed with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of New York, NY. [read post]
4 Aug 2023, 7:16 am
Morgan Securities LLC Mulan Greenway David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
12 May 2023, 1:10 pm
Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. [read post]
9 May 2023, 2:21 pm
David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. [read post]
4 May 2023, 1:58 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Austin Kiick Equitable Advisors, LLC Isaac LaFond Patrick Capital Markets, LLC IFP Securities, LLC Steve Moise Joseph Stone Capital, LLC Spartan Capital Securities, LLC David Morris Stifel, Nicolaus & Company, Incorporated… [read post]
4 May 2023, 7:46 am
Stifel, Nicolaus, & Company, Inc., is an independent broker dealer registered in Massachusetts (CRD No. 793). [read post]
21 Apr 2023, 6:20 am
Turner was employed by UBS Financial Services Inc. from March 1996 through October 2021, then employed by Stifel Nicolaus & Co, Inc. from October 2021 to February 2022. [read post]
30 Jan 2023, 7:13 am
According to his FINRA Broker Report, Turner was affiliated with the following firms during his career, 09/24/2021 – 02/07/2022, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), WACO, TX, B, 03/08/1996 – 10/12/2021, UBS FINANCIAL SERVICES INC. [read post]
31 Aug 2022, 7:08 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Michael Anthony Fahsholtz (Fahsholtz), most recently employed by Stifel, Nicolaus & Company, Inc. [read post]
1 Jun 2022, 8:31 am
According to FINRA Disciplinary actions for May 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kevin Harms Chelsea Financial Services Salomon Whitney Financial David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
19 May 2022, 12:59 pm
Turner, who has four customer complaints on his record, with three currently pending, was reportedly registered with the following FINRA registered firms, during his career in the securities industry: 09/24/2021 – 02/07/2022, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), WACO, TX, 03/08/1996 – 10/12/2021, UBS FINANCIAL SERVICES INC. [read post]
21 Mar 2022, 6:35 am
The White Law Group announces the filing of a FINRA Lawsuit against Stifel, Nicolaus & Company, Inc. [read post]
21 Jul 2021, 12:49 pm
Citigroup Global Markets, Inc. and Jefferies LLC are also acting as book-running managers for the offering, and Canaccord Genuity LLC, Cowen and Company, LLC, Needham & Company LLC, Stifel, Nicolaus & Company, Incorporated and Loop Capital Markets LLC are acting as co-managers for the offering. [read post]
6 Jun 2021, 5:28 pm
Inc., Stifel Nicolaus & Company and Truist Securities will act as co-managers for the proposed offering. [read post]
