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 |
|---|---|---|---|---|---|---|---|---|
| Brett David Levinson | 2644880 | 2 | 12/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Frank | 2109605 | 1 | 12/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Rubarth | 2315888 | 2 | 10/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Murphy | 1829393 | 4 | 09/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Hunter Tillotson | 1320717 | 4 | 08/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Botkin | 1571729 | 4 | 01/23/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Alexis Johnson | 874358 | 4 | 12/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 08/06/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Stoddard | 2773797 | 4 | 05/09/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Stoddard | 2773797 | 4 | 01/10/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |