Category: Stifel Nicolaus & Company

Broker’s Background   Jonathon Mark Webster (CRD #: 1286778) was a previously registered broker with FINRA. He’s been previously employed with Aegis Capital Corp., Stifel, Nicolaus & Company, Incorporated, Wells Fargo Clearing Services, LLC, Citigroup Global Markets Inc., Morgan Stanley DW Inc., PaineWebber Incorporated, Shearson Lehman Hutton Inc., E.F. Hutton & Company Inc., Bateman Eichler, […]

Broker’s Background   Timothy Darragh (CRD #: 1897635 ) is registered with Stiffel, Nicolaus & Company, Incorporated. He is located in Chicago, IL. Darragh’s past employers include Investors Center, Inc, Painewebber Incorporated, Alex, Brown & Sons Incorporated, Hambrecht & Quist, Chase Securities, Credit Suisse, and Stifel, Nicolaus & Company.   Current and Past Allegations of […]

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, […]