Individual Firm
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DANIEL RICHARD JUDD
CRD#: 1288663
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 PATEWOOD VI OFFICE PARK
10 PATEWOOD DRIVE, SUITE 220
GREENVILLE, SC 29615
10 PATEWOOD DRIVE, SUITE 220
GREENVILLE, SC 29615
0
Disclosures
40
Years of Experience
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State Registrations
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Alabama 3/31/2020
B
Mississippi 10/11/2019
B
Arizona 6/15/2007
B
Missouri 6/24/2014
B
California 6/15/2007
B
New Mexico 8/2/2019
B
Colorado 8/1/2019
B
New York 6/15/2007
B
Florida 6/15/2007
B
North Carolina 3/28/2017
B
Georgia 11/29/2024
B
Pennsylvania 7/14/2014
B
Hawaii 4/18/2019
B
South Carolina 2/22/2012
B
Illinois 6/15/2007
IA
South Carolina 7/31/2024
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Illinois 6/15/2007
B
Tennessee 7/17/2019
B
Indiana 6/15/2007
IA
Texas 10/22/2009
B
Louisiana 7/17/2019
B
Texas 2/13/2014
B
Maryland 2/15/2017
B
Utah 9/30/2019
B
Michigan 6/15/2007
B
Wisconsin 6/15/2007
B
Minnesota 7/15/2016
SRO Registrations
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B
B
B
B
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IA
Registered with this firm since 6/15/2007
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Registered with this firm since 6/15/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/30/2007 - 06/19/2007 | CHICAGO, IL | |
B | 05/03/1996 - 06/19/2007 | CHICAGO, IL | |
B | 08/23/1984 - 05/13/1996 | PURCHASE, NY |
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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.