Our Staff has compiled our research into a database of FINRA Broker Disclosures for Stifel Independent Advisors, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ryan Elliot Shoop | 4522151 | 2 | 07/25/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Dana Matthew Levasseur | 2808294 | 1 | 07/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alex Marcus David | 2421489 | 1 | 03/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hans Thomas Gappy | 7271587 | 1 | 02/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 07/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Niedermeyer | 1680870 | 6 | 05/20/2019 | Customer Dispute | Denied | $194,528.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Mowrer | 3105460 | 1 | 11/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Niedermeyer | 1680870 | 6 | 10/19/2018 | Customer Dispute | Settled | $641,271.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |