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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Thomas Bruno | 854559 | 6 | 01/12/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Alan Carl Wolman | 2006916 | 5 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report |