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 |
|---|---|---|---|---|---|---|---|---|
| Scott Kenneth Weber | 6735776 | 2 | 02/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phyllis Ann Servis | 2423186 | 2 | 08/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wimberly Dillard McCoy | 1431890 | 4 | 05/10/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Mari Carter | 1797884 | 2 | 08/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phyllis Ann Servis | 2423186 | 2 | 10/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Mari Carter | 1797884 | 2 | 09/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wimberly Dillard McCoy | 1431890 | 4 | 03/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wimberly Dillard McCoy | 1431890 | 4 | 02/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adrian Gabriel Sanchez | 5428480 | 1 | 08/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Kenneth Weber | 6735776 | 2 | 06/03/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |