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 |
|---|---|---|---|---|---|---|---|---|
| Dana Matthew Levasseur | 2808294 | 1 | 07/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alan Mowrer | 3105460 | 1 | 11/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Henry Fleenor | 5142941 | 1 | 02/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Mari Carter | 1797884 | 4 | 08/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Mari Carter | 1797884 | 4 | 01/03/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Mari Carter | 1797884 | 4 | 09/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Mari Carter | 1797884 | 4 | 05/20/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Knox Fuller | 2947131 | 1 | 09/10/1991 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |