Articles Tagged with Stifel Nicolaus & Company

Christopher ThompsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that California-based Stifel Nicolaus & Company broker/adviser Christopher Thompson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thompson (CRD# 4631462).

Christopher Thompson has spent 15 years in the securities industry and has been registered with Stifel Nicolaus & Company in Walnut Creek, California since 2015. He was previously registered with Merrill Lynch in Walnut Creek, California. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 16, 2003, and Series 7 (General Securities Representative Examination), which he obtained on April 9, 2003. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Michigan, Ohio, Oregon, Texas, and Washington. He is registered with seven self-regulatory organizations (SROs): Cboe BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that Maryland-based Stifel Nicolaus & Company broker/adviser Kenneth Blumberg has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Blumberg (CRD# 1585520).

Kenneth Blumberg has spent 31 years in the securities industry and has been registered with Stifel Nicolaus & Company in Baltimore, Maryland since 2007. Previous registrations include Ryan Beck & Company in Baltimore, Maryland (2005-2007); Citigroup Global Markets in New York, New York (1993-2005); and Lehman Brothers in New York, New York (1986-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 1, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1986; Series 3 (National Commodity Futures Examination), which he obtained on December 22, 1986; and Series 7 (General Securities Representative Examination), which he obtained on November 15, 1986. He is a registered broker and investment adviser with eight US states and territories: The District of Columbia, Florida, Maryland, New York, Ohio, Pennsylvania, Texas, and West Virginia. He is registered with five self-regulatory organizations: FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Missouri-based Stifel Nicolaus & Company broker/adviser Larry Toole has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Toole (CRD# 1533007).

Larry Toole has spent 31 years in the securities industry and has been registered with Stifel Nicolaus & Company in Kansas City, Missouri since 1988. Previous registrations include Rowland Simon & Company (1988) and R. Rowland & Company (1986-1988). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 34 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and five denied customer complaints.

Christopher StoddardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Christopher Stoddard has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stoddard (CRD# 2773797).

Christopher Stoddard has spent 20 years in the securities industry and has been registered with Stifel Nicolaus & Company in Boston, Massachusetts in December 2016. Previous registrations include Wells Fargo Advisors in Norwell, Massachusetts; Morgan Stanley in Norwell, Massachusetts; and Citigroup Global Markets in Hingham, Massachusetts. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination). He is a registered broker and investment adviser with 23 US states and territories.

According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint.

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