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KEVIN JOHN BAY
CRD#: 1617238
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 18000 WEST SARAH LANE SUITE 180
BROOKFIELD, WI 53045
BROOKFIELD, WI 53045
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Disclosures
38
Years of Experience
View By:
State Registrations
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Alabama 8/5/2019
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Nevada 8/5/2019
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Arizona 8/5/2019
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New York 3/4/2025
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California 8/5/2019
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Ohio 8/5/2019
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Colorado 8/5/2019
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Pennsylvania 8/5/2019
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Florida 8/5/2019
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Tennessee 8/5/2019
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Illinois 8/5/2019
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Texas 7/29/2019
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Indiana 8/5/2019
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Texas 8/5/2019
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Iowa 8/5/2019
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Virginia 8/5/2019
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Kentucky 11/7/2022
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Wisconsin 7/29/2019
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Minnesota 8/5/2019
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Wisconsin 8/5/2019
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Missouri 8/5/2019
SRO Registrations
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Registered with this firm since 7/29/2019
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Registered with this firm since 8/5/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/05/2007 - 08/27/2019 | PEWAUKEE, WI | |
IA | 08/12/2006 - 11/14/2007 | DELAFIELD, WI | |
B | 08/12/2006 - 11/14/2007 | DELAFIELD, WI | |
IA | 04/23/2002 - 08/12/2006 | DELAFIELD, WI | |
B | 02/15/2002 - 08/12/2006 | DELAFIELD, WI | |
B | 07/31/1993 - 02/25/2002 | NEW YORK, NY | |
B | 01/13/1989 - 07/31/1993 | NEW YORK, NY | |
B | 01/21/1987 - 01/24/1989 | OVERLAND PARK, KS |
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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.
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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.