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 |
|---|---|---|---|---|---|---|---|---|
| William Harrison McWilliams | 4688323 | 4 | 11/17/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard S Botkin | 1571729 | 4 | 04/19/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael J Comfort | 2677113 | 2 | 03/29/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Michael Doderer | 3039335 | 2 | 12/13/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Harris McKinnis | 4218213 | 1 | 07/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael J Comfort | 2677113 | 2 | 07/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 04/28/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Buck Wj Kipper | 5054845 | 1 | 03/05/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| G Thomas Parry | 1259983 | 3 | 02/22/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 02/05/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |