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 |
|---|---|---|---|---|---|---|---|---|
| Staci Michelle Huether | 4231255 | 3 | 09/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phoebe Daimei Jaramillo | 3035636 | 2 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Stoddard | 2773797 | 4 | 08/16/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha King | 6134943 | 1 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Shannon Ayala | 4365813 | 2 | 07/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Botkin | 1571729 | 4 | 06/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Paul Alsop | 7157829 | 1 | 06/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Harrison McWilliams | 4688323 | 4 | 05/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Franklin Bernard | 2550802 | 5 | 03/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Murphy | 1829393 | 4 | 02/16/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |