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 |
|---|---|---|---|---|---|---|---|---|
| Alice Marie Scarborough | 2503884 | 1 | 07/25/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Keith Brisgel | 1514927 | 1 | 06/27/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward J Yen | 867919 | 4 | 12/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Scott Parker | 2448410 | 1 | 10/05/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Calaman | 844749 | 3 | 10/04/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew B Woolworth | 4407177 | 2 | 10/04/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Elaina Friesel Garvin | 2383841 | 2 | 07/24/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Keith Heid | 1247708 | 1 | 01/11/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sherry D Parker | 1667466 | 2 | 12/19/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louisa Sakkis | 4768140 | 2 | 05/23/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |