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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Thomas Bruno | 854559 | 6 | 07/18/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kerry John Mangano | 1059546 | 5 | 10/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Wesley Schmidt | 849772 | 2 | 11/03/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Andrew Mulhaul | 1009370 | 7 | 10/16/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Steven Goldwater | 866798 | 3 | 09/15/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Allan Krogh | 275717 | 4 | 03/14/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harvey Novack | 349589 | 1 | 07/25/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joni M Sharkey | 1439302 | 1 | 04/10/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Saul Minker | 336377 | 8 | 02/01/1981 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |