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 |
|---|---|---|---|---|---|---|---|---|
| John Charles Sousan | 1093543 | 1 | 09/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Lea Hill | 4442705 | 2 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Fae Cox | 7090334 | 2 | 08/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Boone Powell | 5397439 | 3 | 06/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kate Bee Gray | 1512134 | 2 | 06/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Lea Hill | 4442705 | 2 | 05/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Cody Miller | 2937577 | 3 | 04/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maryann Distasio | 1600614 | 2 | 03/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Eugene Tanner | 442470 | 2 | 03/05/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randi Nicole Howard | 6041365 | 3 | 01/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |