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 |
|---|---|---|---|---|---|---|---|---|
| Lisa C Lo | 3133313 | 1 | 12/27/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Connor Michael Kelly | 6655860 | 1 | 09/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Clifford French | 1829901 | 2 | 09/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Fallon Kregor | 2403684 | 11 | 07/15/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jacob Tague | 7110414 | 1 | 05/13/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roger Lowell Wilkie | 467135 | 8 | 03/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Danielle Lynn Cefalu | 6023765 | 1 | 03/12/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Arndt Hicks | 1719418 | 2 | 03/04/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Lynn Mitchell | 1523211 | 5 | 02/03/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randy S Anderson | 2702160 | 1 | 11/02/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |