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 |
|---|---|---|---|---|---|---|---|---|
| Randall Kent Minas | 821449 | 11 | 05/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 11 | 05/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 11 | 05/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Stoddard | 2773797 | 5 | 05/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Chapin | 1052210 | 5 | 03/20/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Elizabeth Rea | 866863 | 2 | 02/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Price | 367772 | 2 | 02/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cula Marshele Settlers | 1640956 | 1 | 02/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ross Lundell | 3125227 | 1 | 01/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Jay Raabe | 2148468 | 1 | 12/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |