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ROBERT JAMES SIMON
BOB SIMON, ROBERT SIMON
CRD#: 1572882
IA
Investment Adviser
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Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 ONE MONTGOMERY STREET
SUITES 3300, 3500, 3600, & 3700
SAN FRANCISCO, CA 94104
Registration History
199019952000200520102015202020252 FIRMS2000 - 2015 (14 years)2 FIRMS2015 - Present (9 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)1993 - 2000 (6 years)BBANCAL INVESTMENT SERVICES, INC. (CRD# 17122)1989 - 1993 (4 years)BNCNB TEXAS SECURITIES, INC. (CRD# 16882)1987 - 1988 (<1 year)BREPUBLICBANK FINANCIAL MARKETS... (CRD# 18040)1986 - 1987 (<1 year)
Disclosure(s)
View By:
4/20/2015
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 12/17/2021

B
New Jersey 5/16/2022

B
California 4/23/2015

B
New York 12/15/2022

IA
California 4/24/2015

B
Ohio 6/19/2019

B
Idaho 4/23/2015

B
South Carolina 12/1/2015

B
Missouri 3/24/2023

B
Texas 9/17/2019

B
Montana 6/13/2019

IA
Texas 9/17/2019

B
Nevada 1/31/2023

B
Washington 4/23/2015

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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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
ONE MONTGOMERY STREET SUITES 3300, 3500, 3600, & 3700, SAN FRANCISCO, CA 94104
Larkspur, CA
Registered with this firm since 4/24/2015

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
ONE MONTGOMERY STREET SUITES 3300, 3500, 3600, & 3700, SAN FRANCISCO, CA 94104
Larkspur, CA
Registered with this firm since 4/23/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/19/2000 - 04/22/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
09/01/2000 - 04/22/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
11/01/1993 - 09/15/2000 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
02/27/1989 - 11/27/1993 BANCAL INVESTMENT SERVICES, INC. (CRD#:17122)
B
11/06/1987 - 08/11/1988 NCNB TEXAS SECURITIES, INC. (CRD#:16882)
B
12/02/1986 - 11/06/1987 REPUBLICBANK FINANCIAL MARKETS, INC. (CRD#:18040)
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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.