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ROBERT KYLE RATCLIFF
CRD#: 1888152
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 320 WEST EAGLE DRIVE
SUITE 101
DENTON, TX 76201
SUITE 101
DENTON, TX 76201
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1/8/2016
Customer Dispute
Award / Judgment
State Registrations
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Alabama 9/23/2020
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Montana 2/24/2010
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Arizona 4/11/2011
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Nebraska 12/11/2012
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Arkansas 7/5/2018
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Nevada 1/20/2016
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California 12/5/2018
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New Hampshire 3/10/2020
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Colorado 12/13/2017
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New Mexico 1/3/2023
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Florida 2/24/2010
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New York 2/5/2016
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Georgia 8/2/2019
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North Carolina 1/15/2021
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Idaho 6/23/2022
B
Ohio 10/24/2017
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Illinois 8/21/2015
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Oklahoma 2/24/2010
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Indiana 8/20/2019
B
Oregon 7/11/2017
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Iowa 2/7/2011
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Pennsylvania 2/24/2010
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Kansas 5/29/2012
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South Carolina 2/24/2010
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Kentucky 9/21/2015
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Tennessee 8/16/2019
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Louisiana 1/3/2020
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Texas 2/24/2010
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Maryland 6/16/2022
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Texas 2/24/2010
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Massachusetts 2/24/2010
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Utah 7/7/2017
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Minnesota 5/4/2018
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Virginia 7/24/2017
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Mississippi 2/24/2010
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Washington 2/24/2010
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Missouri 2/24/2010
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Wisconsin 1/21/2015
SRO Registrations
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Registered with this firm since 2/24/2010
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Registered with this firm since 2/24/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 03/15/2010 | DENTON, TX | |
B | 01/01/2008 - 03/15/2010 | DENTON, TX | |
B | 07/08/1989 - 01/03/2008 | DENTON, TX | |
IA | 11/12/2002 - 01/01/2008 | DENTON, TX | |
B | 10/19/1988 - 06/22/1989 | ST. LOUIS, MO |
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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.