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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| James Anthony Marino | 5049527 | 5 | 08/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 06/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alfonso Sanchez | 2811543 | 1 | 08/05/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hsieh | 6034038 | 1 | 05/15/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |