Individual Firm
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BARRE MCLEOD BUTLER
CRD#: 1706585
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 174 MEETING STREET
STE 400
CHARLESTON, SC 29401
STE 400
CHARLESTON, SC 29401
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8/29/2014
Customer Dispute
Settled
5/14/1990
Customer Dispute
Settled
State Registrations
B
Alabama 4/11/2014
B
Missouri 1/2/2018
B
Arizona 4/30/2014
B
Nevada 9/22/2022
B
Arkansas 11/5/2024
B
New Jersey 3/27/2014
B
California 3/27/2014
B
New Mexico 7/15/2022
B
Colorado 4/9/2014
B
New York 3/27/2014
B
Connecticut 3/27/2014
B
North Carolina 3/27/2014
B
District of Columbia 1/5/2023
B
Ohio 3/27/2014
B
Florida 3/27/2014
B
Oklahoma 8/2/2018
B
Georgia 3/28/2014
B
Pennsylvania 4/3/2014
B
Illinois 2/5/2020
B
Rhode Island 6/2/2022
B
Indiana 2/17/2025
B
South Carolina 3/28/2014
B
Iowa 3/27/2014
IA
South Carolina 3/28/2014
B
Kentucky 3/27/2014
B
Tennessee 3/27/2014
B
Louisiana 3/3/2020
B
Texas 3/27/2014
B
Maine 4/10/2014
IA
Texas 3/27/2014
B
Maryland 3/27/2014
B
Vermont 3/30/2021
B
Massachusetts 3/31/2014
B
Virginia 3/27/2014
B
Michigan 9/13/2022
B
Washington 3/27/2014
B
Minnesota 3/27/2014
B
Wyoming 4/26/2022
B
Mississippi 7/19/2023
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 3/27/2014
B
Registered with this firm since 3/27/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/12/2000 - 04/04/2014 | CHARLESTON, SC | |
B | 08/14/2000 - 04/04/2014 | CHARLESTON, SC | |
B | 03/02/1994 - 08/14/2000 | NEW YORK, NY | |
B | 07/22/1987 - 03/09/1994 | ATLANTA, GA |
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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.