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STEPHANIE KAY MORRIS
CRD#: 2005744
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 3075 TOWNSGATE ROAD
SUITE 300
WESTLAKE VILLAGE, CA 91361
Registration History
199019952000200520102015202020252 FIRMS2015 - 2023 (7 years)2 FIRMS2023 - Present (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2003 - 2015 (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2003 (6 years)BSUTRO & CO. INCORPORATED (CRD# 801)1995 - 1996 (1 year)BH.D. VEST INVESTMENT SECURITIE... (CRD# 13686)1990 - 1992 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2015 (4 years)
License(s)

State Registrations

B
Alabama 6/30/2023

B
Mississippi 6/30/2023

B
Alaska 6/30/2023

B
Missouri 6/30/2023

B
Arizona 6/30/2023

B
Montana 6/30/2023

B
Arkansas 6/30/2023

B
Nebraska 6/30/2023

B
California 6/30/2023

B
Nevada 6/30/2023

IA
California 6/30/2023

B
New Jersey 6/30/2023

B
Colorado 6/30/2023

B
New Mexico 6/30/2023

B
Connecticut 6/30/2023

B
New York 6/30/2023

B
Delaware 6/30/2023

B
North Carolina 6/30/2023

B
District of Columbia 6/30/2023

B
North Dakota 6/30/2023

B
Florida 6/30/2023

B
Ohio 6/30/2023

B
Georgia 6/30/2023

B
Oklahoma 6/30/2023

B
Hawaii 6/30/2023

B
Oregon 6/30/2023

B
Idaho 6/30/2023

B
Pennsylvania 6/30/2023

B
Illinois 6/30/2023

B
Rhode Island 6/30/2023

B
Indiana 6/30/2023

B
South Dakota 6/30/2023

B
Iowa 6/30/2023

B
Tennessee 6/30/2023

B
Kansas 6/30/2023

B
Texas 6/30/2023

B
Kentucky 6/30/2023

IA
Texas 6/30/2023

B
Louisiana 6/30/2023

B
Utah 6/30/2023

B
Maine 6/30/2023

B
Virginia 6/30/2023

B
Maryland 6/30/2023

B
Washington 6/30/2023

B
Michigan 6/30/2023

B
Wisconsin 6/30/2023

B
Minnesota 6/30/2023

B
Wyoming 6/30/2023

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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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
3075 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 6/30/2023

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
3075 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Registered with this firm since 6/30/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/07/2015 - 07/06/2023 MORGAN STANLEY (CRD#:149777) Westlake Village, CA
B
08/07/2015 - 07/06/2023 MORGAN STANLEY (CRD#:149777) Westlake Village, CA
IA
05/24/2011 - 06/08/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) WESTLAKE VILLAGE, CA
B
07/10/2003 - 06/08/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) WESTLAKE VILLAGE, CA
B
11/13/1996 - 06/04/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
10/06/1995 - 10/24/1996 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
01/29/1990 - 12/23/1992 H.D. VEST INVESTMENT SECURITIES, INC. (CRD#:13686) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
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.