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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Cedric Bertrell Edwards | 4160346 | 1 | 03/09/2018 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Karl C Walz | 4999365 | 2 | 07/06/2017 | Customer Dispute | Settled | $9,022.00 | $0.00 | See FINRA Report |
| Karl C Walz | 4999365 | 2 | 11/29/2016 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Kanoi Lam | 3054196 | 1 | 08/10/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mitchell Elliott Kauffman | 1064603 | 1 | 01/27/2016 | Customer Dispute | Denied | $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 |