Category: Stifel Nicolaus & Company

Chuck Roberts (CRD#: 2064602) is a registered Broker and Investment Adviser at Stifel, Nicolaus & Company, Inc., in New York, NY. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; Oppenheimer & Co., Inc.; CIBC World Markets Corp.; M.J. Whitman, Inc.; Painewebber Inc., and Lehman […]

Gregory Sain (CRD#: 1629842) is a registered Broker and Investment Adviser at Morgan Stanley in Beverly Hills, CA. Broker’s Background He entered the securities industry in 1987 and previously worked for Stifel, Nicolaus & Company, Inc.; Stone & Youngberg, LLC; Prudential-Bache Securities, Inc.; and Municicorp of California. Silicon Valley Bank, Signature Bank and First Republic […]

Chuck A. Roberts (CRD#: 2064602) is a registered Broker and Investment adviser at Stifel, Nicolaus & Co., Inc. in New York, NY. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; Oppenheimer & Co., Inc.; CIBC World Markets Corp.; M.J. Whitman, Inc.; Painewebber, Inc.; and […]

James Cvetkovic (CRD#: 5387856) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2007 and previously worked for Stifel, Nicolaus & Company, Inc.; and Butler, Wick & Co., Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Loren Justin Morrison (CRD#: 4578161) is a dually registered Broker and Investment Adviser at Stifel, Nicolaus & Co., Inc. in Southfield, MI. Broker’s Background He entered the securities industry in 2002 and previously worked for LPL Financial, LLC; Echotrade, LLC; UBS Financial Services, Inc.; and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct […]

Mark Stevenson (CRD#: 436079) is a dually registered Broker and Investment Advisor at Stifel, Nicolaus & Company, Inc. in New York, NY. Broker’s Background He entered the securities industry in 1974 and previously worked for Barclays Capital, Inc.; Lehman Brothers, Inc.; Lehman Brothers Kuhn Loeb, Inc.; White, Weld & Co., Inc. Current And Past Allegations […]

Joseph H. Pratt (CRD#: 719416) was a broker employed by Stifel, Nicolaus & Company, Inc. from 2014-2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 12, 2020, a customer complaint was filed against Joseph H. Pratt for alleged violation of the Florida Securities and Investor Protection Act, breach […]

Brian Engstrom (CRD # 1838926) was a Financial Advisor at Stifel, Nicolaus & Co. in Pensacola, FL. Brian Engstrom has been in the securities industry since 1989 and previously worked at Oppenheimer & Co. and Josephthal & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 20, 2020, […]

Steven Dale Rodemer (CRD # 830561) was a Financial Advisor at Stifel, Nicolaus & Company, Incorporated in Pueblo, CO. Steven Rodemer has been in the securities industry since 1976 and previously worked for a number of brokerage firms, including Sanders Morris Harris Inc., Cascade Investment Group, Inc. and Salomon Smith Barney Inc. According to publicly […]

Lawrence R. Delhagan, Jr. (CRD # 2779312) is a Financial Advisor at Stifel, Nicolaus & Company in Center Valley, PA.  Lawrence Delhagan has been in the securities industry since 1996 and previously worked at Ryan Beck & Co., Gruntal & Co. and WMA Securities, Inc. According to publicly available records released by the Financial Industry […]