Publicly 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.