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STEPHEN ALAN BOTTOMLEY
STEVE BOTTOMLEY
CRD#: 1195814
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 800 MAIN STREET
SUITE 400
ANDERSON, IN 46016
Registration History
1985199019952000200520102015202020252 FIRMS2003 - 2020 (16 years)2 FIRMS2020 - Present (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 2003 (13 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1985 - 1989 (4 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (4 years)
License(s)

State Registrations

B
Alabama 11/1/2021

B
Minnesota 3/1/2021

B
Arizona 6/22/2020

B
Missouri 10/11/2024

B
California 6/22/2020

B
Nevada 5/6/2021

B
Delaware 6/11/2021

B
New York 6/22/2020

B
Florida 6/22/2020

B
North Carolina 6/22/2020

B
Georgia 6/23/2020

B
Ohio 6/22/2020

B
Illinois 6/22/2020

B
South Carolina 6/22/2020

IA
Indiana 6/22/2020

B
Tennessee 6/22/2020

B
Indiana 6/24/2020

B
Texas 6/22/2020

B
Kentucky 6/22/2020

B
Utah 6/22/2020

B
Maine 5/17/2021

B
Virginia 6/25/2020

B
Maryland 6/22/2020

B
Washington 6/22/2020

B
Massachusetts 6/22/2020

B
Wisconsin 6/22/2020

B
Michigan 6/22/2020

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
800 MAIN STREET SUITE 400, ANDERSON, IN 46016
Registered with this firm since 6/22/2020

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
800 MAIN STREET SUITE 400, ANDERSON, IN 46016
Registered with this firm since 6/22/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2003 - 06/23/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ANDERSON, IN
B
07/01/2003 - 06/23/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ANDERSON, IN
IA
12/10/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) ANDERSON, IN
B
09/15/1989 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
09/25/1985 - 09/15/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.