Articles Tagged with Stifel Nicolaus & Company

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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