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 |
|---|---|---|---|---|---|---|---|---|
| Matthew John Hickey | 4989648 | 2 | 09/18/2013 | Customer Dispute | Denied | $45,822.00 | $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 |
| James Matthew Duncan | 5560221 | 1 | 03/26/2013 | Customer Dispute | Denied | $6,750.00 | $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 | |
| Matthew John Hickey | 4989648 | 2 | 02/18/2011 | Customer Dispute | Denied | $29,329.00 | $0.00 | See FINRA Report |
| Richard Joseph Boehm | 2201706 | 1 | 08/24/2009 | Customer Dispute | Settled | $260,252.00 | $0.00 | See FINRA Report |
| Ryan Elliot Shoop | 4522151 | 2 | 10/11/2008 | Customer Dispute | Denied | $162,067.00 | $0.00 | See FINRA Report |
| Robert John Sawyer | 1705283 | 1 | 02/27/2007 | Customer Dispute | Denied | $36,646.90 | $0.00 | See FINRA Report |