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Category Stifel Nicolaus & Company

Former Stifel, Nicolaus & Company, Inc. Broker Joseph H. Pratt Barred by FINRA for Insider Trading; Customer Complaint Pending

January 17, 2021

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…

Former Stifel, Nicolaus Broker, Brian Engstrom, Sanctioned By FINRA Relating To Sales of Unit Investment Trusts (UITs)

April 26, 2020

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,…

Former Stifel, Ncolaus & Company Broker, Steven Rodemer, Barred By FINRA For Refusing To Cooperate With FINRA In Its Investigation That He Misappropriated Client Funds For Personal Use

April 3, 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…

Stifel, Nicolaus & Company Broker, Lawrence Delhagan, Jr., Has Four Disclosed Customer Complaints, Alleging Sales Practice Misconduct

November 7, 2019

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…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

Additional Office Locations (by appointment only)
Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154