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 |
|---|---|---|---|---|---|---|---|---|
| Steven M Schwary | 2316561 | 8 | 09/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 8 | 09/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Staci Michelle Huether | 4231255 | 3 | 08/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Hunter Tillotson | 1320717 | 4 | 08/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 07/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Staci Michelle Huether | 4231255 | 3 | 06/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 8 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Botkin | 1571729 | 4 | 01/23/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Alexis Johnson | 874358 | 4 | 12/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn James Ezzo | 3023853 | 2 | 11/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |