Articles Tagged with Stifel Nicolaus & Company

William HerfPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 28, 2019 indicate that Arizona-based Stifel Nicolaus & Company broker/adviser William Herf has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herf (CRD# 2978220).

William Herf has spent seven years in the securities industry and has been registered with Stifel Nicolaus & Company in Scottsdale, Arizona since March 2018. Previous registrations include BC Ziegler & Company in Scottsdale, Arizona (2002-2018); Charles Schwab & Company in San Francisco, California (2000-2002); and Mony Securities Corporation in New York, New York (1997-2000). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 27, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 28, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 17, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 26, 1997; Series 53 (Municipal Securities Principal Examination), which he obtained on March 18, 2008; and Series 24 (General Securities Principal Examination), which he obtained on December 22, 2006. He is a registered broker and investment adviser with 22 US states and territories: Arizona, Arkansas, California, Colorado, Florida, Georgia, Hawaii, Illinois, Iowa, Kansas, Kentucky, Missouri, Nebraska, Nevada, New Mexico, North Carolina, Ohio, Oklahoma, Oregon, Texas, Utah, and Wyoming. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange, FINRA, NYSE American, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Timothy JohnsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Timothy Johnson, who has received customer disputes, was recently sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Johnson (CRD# 874358).

Timothy Johnson has spent 39 years in the securities industry and has been registered with Stifel Nicolaus & Company in East Harwich, Massachusetts since 2009. Previous registrations include Wachovia Securities in Centerville, Massachusetts (2008-2009); AG Edwards & Sons in Centerville, Massachusetts (1987-2008); and Thomson McKinnon Securities (1979-1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 1, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 28, 1981; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 17, 1979. He is a registered broker and investment adviser with 30 US states and territories.

According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction.

Andrew ElsofferPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former Ohio-based Stifel Nicolaus & Company broker/adviser Andrew Elsoffer, who has received several customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Elsoffer (CRD# 2580009).

Andrew Elsoffer has spent twenty-three years in the securities industry and was most recently registered with Stifel Nicolaus & Company in Pepper Pike, Ohio (2011-2019). He was previously registered with Merrill Lynch in Pepper Pike, Ohio (1995-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 21, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 24, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1995. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received five customer complaints and was discharged from two former employers in connection to alleged rule violations.

Robert CohenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that New York-based Stifel Nicolaus & Company broker/adviser Robert Cohen, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cohen (CRD# 1162192).

Robert Cohen has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in Garden City, New York since October 2018. Previous registrations include UBS Financial Services in Garden City, New York (2008-2018); Morgan Stanley & Company in Jericho, New York (2007-2008); Morgan Stanley DW in Jericho, New York (1990-2007); and Butcher & Singer (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 16, 1994. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations and has received three customer complaints.

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.

kenneth blumbergPublicly 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.

Larry ToolePublicly 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.