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 Jay Hudgins | 2430470 | 1 | 07/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Alan Buckfire | 1713009 | 1 | 07/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terri Beth Smith | 1263394 | 1 | 11/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan Mallory Haynie | 6879722 | 2 | 11/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Levering Buckley | 5629583 | 1 | 10/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony M Small | 4403394 | 1 | 05/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Loren Justin Morrison | 4578161 | 10 | 04/23/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jasmine Packer | 7496365 | 1 | 03/21/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy William Sumner | 2717244 | 1 | 01/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Cox | 2594977 | 3 | 06/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |