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 |
|---|---|---|---|---|---|---|---|---|
| Eric Niedermeyer | 1680870 | 6 | 10/19/2018 | Customer Dispute | Settled | $641,271.00 | $0.00 | See FINRA Report |
| Karl C Walz | 4999365 | 2 | 07/06/2017 | Customer Dispute | Settled | $9,022.00 | $0.00 | See FINRA Report |
| Richard Joseph Boehm | 2201706 | 1 | 08/24/2009 | Customer Dispute | Settled | $260,252.00 | $0.00 | See FINRA Report |
| Patrick John Wittekind | 1660864 | 2 | 06/13/2003 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Richard James Graff | 1256027 | 1 | 11/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Gregory Globetti | 1342404 | 2 | 08/28/2001 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Eric Niedermeyer | 1680870 | 6 | 08/21/2001 | Customer Dispute | Settled | $66,200.00 | $0.00 | See FINRA Report |
| Eric Niedermeyer | 1680870 | 6 | 07/12/2001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Eric Niedermeyer | 1680870 | 6 | 07/12/2001 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Eric Niedermeyer | 1680870 | 6 | 05/08/2000 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |