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 |
|---|---|---|---|---|---|---|---|---|
| David Allen Zachmeyer | 2114928 | 2 | 10/24/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carmine Manna | 1626846 | 4 | 07/24/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Perry Dunn | 1175657 | 3 | 06/25/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Petrucelli | 1183809 | 5 | 05/30/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John W Waller | 1851265 | 1 | 04/19/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Buttarazzi | 1982781 | 1 | 03/01/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Hemphill Mathisen | 1615086 | 2 | 11/06/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Mulhaul | 1009370 | 7 | 09/07/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Linda McWhirter Daniel | 60633 | 1 | 05/15/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Hartwell Ensey | 1417338 | 2 | 09/28/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |