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 |
|---|---|---|---|---|---|---|---|---|
| Roman Meyerhans | 4587943 | 3 | 10/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roman Meyerhans | 4587943 | 3 | 03/28/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 02/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Joseph Borrello | 1841005 | 2 | 08/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexis Lopez | 5539578 | 1 | 04/29/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Nicholas Dukas | 4188239 | 2 | 05/15/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Hunter Tillotson | 1320717 | 4 | 05/05/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Burdulis | 1054954 | 1 | 04/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John Kartheiser | 1360201 | 4 | 03/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Johnston Darby | 1659917 | 4 | 12/10/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |