Individual Firm
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BRIAN KENT MADDOX
CRD#: 1062052
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2 NORTH TAMIAMI TRAIL
SARASOTA, FL 34236
SARASOTA, FL 34236
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11/13/2009
Customer Dispute
Settled
11/10/1998
Customer Dispute
Denied
State Registrations
B
Arizona 12/4/2015
B
Missouri 1/2/2020
B
California 12/4/2015
B
New Mexico 12/4/2015
B
Colorado 12/4/2015
B
North Carolina 4/15/2024
B
Connecticut 12/4/2015
B
Ohio 2/11/2025
B
District of Columbia 12/18/2024
B
Oklahoma 7/31/2023
B
Florida 12/4/2015
B
Oregon 6/21/2018
IA
Florida 6/26/2017
B
Pennsylvania 2/10/2025
B
Illinois 12/4/2015
B
Texas 12/4/2015
IA
Illinois 12/4/2015
IA
Texas 12/4/2015
B
Kansas 1/25/2017
B
Virginia 10/20/2021
B
Louisiana 8/16/2016
B
Washington 4/21/2017
B
Massachusetts 12/4/2015
B
Wisconsin 12/4/2015
B
Michigan 12/4/2015
IA
Wisconsin 5/13/2016
B
Mississippi 7/31/2024
SRO Registrations
B
B
B
B
B
B
B
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IA
Registered with this firm since 12/4/2015
B
Registered with this firm since 12/4/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2011 - 12/04/2015 | CHICAGO, IL | |
B | 03/31/2011 - 12/04/2015 | CHICAGO, IL | |
IA | 06/01/2009 - 04/11/2011 | CHICAGO, IL | |
B | 06/01/2009 - 04/11/2011 | CHICAGO, IL | |
IA | 01/19/1999 - 06/01/2009 | CHICAGO, IL | |
B | 01/27/1986 - 06/01/2009 | CHICAGO, IL | |
B | 09/24/1982 - 01/31/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.