Search for: "Stifel, Nicolaus & Company, Incorporated"
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27 Dec 2017, 7:36 am
James Cox has over twenty years in the securities industry and was most recently registered with Stifel Nicolaus & Company since July 2015. [read post]
10 Sep 2015, 9:39 am
Currently, Frechter is associated with Stifel, Nicolaus & Company, Incorporated. [read post]
21 Oct 2009, 12:20 pm
Prior to the bankruptcy filing, Cynergy marketed its assets with the assistance of Stifel, Nicolaus & Company, Incorporated, Peter J. [read post]
12 Aug 2015, 9:08 am
– $80,000 Stifel, Nicolaus & Company, Inc. [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]
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]
4 Apr 2016, 10:29 am
From August 2008 until December 2012, Shaw was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
5 Dec 2016, 6:26 am
From July 2007 through November 2009 Deemer was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
8 Sep 2015, 8:07 am
Malecki Law has written about these products in the past, noting that broker-dealer firms such as Stifel, Nicolaus & Co., Inc. and Century Securities Associates Inc. [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,… [read post]
3 Aug 2018, 6:49 am
From 1998 until July 2010 Klug was associated with Stifel, Nicolaus & Company, Incorporated. [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]
22 Sep 2023, 2:01 pm
Loren Morrison Has Been a Registered Broker Since 2002 According to his Brokercheck, Loren Morrison has been registered as a broker and investment adviser with Stifel, Nicolaus & Company, Incorporated, located in Southfield, Michigan, since 2021. [read post]
22 Sep 2023, 2:01 pm
Loren Morrison Has Been a Registered Broker Since 2002 According to his Brokercheck, Loren Morrison has been registered as a broker and investment adviser with Stifel, Nicolaus & Company, Incorporated, located in Southfield, Michigan, since 2021. [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]
22 Sep 2023, 2:01 pm
Loren Morrison Has Been a Registered Broker Since 2002 According to his Brokercheck, Loren Morrison has been registered as a broker and investment adviser with Stifel, Nicolaus & Company, Incorporated, located in Southfield, Michigan, since 2021. [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]
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]
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]
