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 S Alter | 2147698 | 6 | 12/12/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nolan Dudley Baird | 1654510 | 2 | 12/01/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Stoddard | 2773797 | 4 | 08/16/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Botkin | 1571729 | 4 | 06/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Harrison McWilliams | 4688323 | 4 | 05/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Murphy | 1829393 | 4 | 02/16/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Korey Cleaver Kletschke | 5932111 | 1 | 07/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Peter Goetz | 2826111 | 2 | 04/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Scott Brown | 1799847 | 3 | 04/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin O'Keefe | 3277913 | 2 | 12/07/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |