Individual Firm
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MICHAEL JOHN WITOUS
CRD#: 1566239
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 200 NIBCO PARKWAY
SUITE 300
ELKHART, IN 46516
SUITE 300
ELKHART, IN 46516
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3/17/1999
Customer Dispute
Denied
State Registrations
B
Connecticut 10/7/2021
B
Maryland 6/11/2024
B
Florida 5/24/2018
B
Michigan 4/19/2018
B
Illinois 4/11/2018
B
North Carolina 7/31/2024
IA
Indiana 4/11/2018
B
Virginia 9/13/2018
B
Indiana 4/12/2018
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/11/2018
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Registered with this firm since 4/11/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/19/2010 - 12/15/2017 | KALAMAZOO, MI | |
B | 01/19/2010 - 12/15/2017 | KALAMAZOO, MI | |
IA | 10/21/2004 - 01/15/2010 | GRAND RAPIDS, MI | |
B | 10/20/2004 - 01/15/2010 | GRAND RAPIDS, MI | |
B | 09/02/2003 - 10/21/2004 | MINNEAPOLIS, MN | |
IA | 05/14/2003 - 10/08/2004 | ELKHART, IN | |
B | 04/11/2003 - 09/02/2003 | BOSTON, MA | |
B | 12/11/1998 - 01/15/2003 | NEW YORK, NY | |
B | 06/11/1993 - 12/15/1998 | NEW YORK, NY | |
B | 03/02/1987 - 03/31/1993 |
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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.