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 |
|---|---|---|---|---|---|---|---|---|
| Mark Randall Mitchell | 1148317 | 1 | 06/21/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Perry Dunn | 1175657 | 3 | 02/07/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Lowell Wilkie | 467135 | 8 | 01/11/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christie Louise Smith | 1042279 | 1 | 12/12/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Monson | 1123630 | 3 | 05/31/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Sullivan | 1292837 | 1 | 01/31/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Wesley Schmidt | 849772 | 2 | 05/07/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Jay Meyers | 333327 | 8 | 04/30/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Neil Hattem | 862803 | 3 | 07/23/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Sharpe Lynn | 315266 | 1 | 05/31/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |