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ROBERT CRAIG SHIRLEY
CRAIG SHIRLEY
CRD#: 2021090
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1249 W. LIEBAU ROAD, SUITE 250
MEQUON, WI 53092
Registration History
199019952000200520102015202020252 FIRMS1990 - 1992 (1 year)2 FIRMS2007 - Present (17 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)1998 - 2007 (9 years)BPIPER JAFFRAY INC. (CRD# 665)1992 - 1998 (6 years)
Disclosure(s)
View By:
3/20/2019
Customer Dispute
Denied
10/6/2008
Customer Dispute
Settled
1/22/2008
Customer Dispute
Settled
10/10/2007
Employment Separation After Allegations
6/24/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/15/2007

B
Oregon 1/22/2018

B
California 2/7/2017

B
Texas 10/25/2007

B
Florida 4/24/2008

B
Virginia 2/1/2017

B
Georgia 3/14/2008

B
Washington 11/26/2018

B
Illinois 2/25/2010

B
Wisconsin 11/7/2007

B
New York 1/12/2021

IA
Wisconsin 11/7/2007

B
North Carolina 4/25/2017

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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)
1249 W. LIEBAU ROAD, SUITE 250, MEQUON, WI 53092
Registered with this firm since 11/7/2007

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1249 W. LIEBAU ROAD, SUITE 250, MEQUON, WI 53092
Registered with this firm since 10/25/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/18/1998 - 10/25/2007 RBC DAIN RAUSCHER INC. (CRD#:31194) MILWAUKEE, WI
B
01/30/1992 - 08/11/1998 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
03/05/1990 - 02/19/1992 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
03/05/1990 - 02/19/1992 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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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.