Our Staff has compiled our research into a database of FINRA Broker Disclosures for Stifel, Nicolaus & Company, Incorporated. 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 |
|---|---|---|---|---|---|---|---|---|
| Peter James Nazos | 2093302 | 3 | 04/25/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Martin Joseph Gannon | 847448 | 1 | 03/14/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Richard Kendrick | 727459 | 1 | 06/17/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Allen Russo | 2115356 | 3 | 06/12/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brent Lane Baumberger | 2050730 | 2 | 01/19/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Malcolm Graham Bourne | 1562435 | 5 | 08/19/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Minicucci | 1321150 | 4 | 10/09/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph J Dolan | 1941698 | 1 | 11/03/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| N David Hoover | 1722534 | 4 | 07/20/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Michael Volpe | 1112161 | 2 | 05/01/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |