Individual Firm
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JAMES PETER MANOS
JIM MANOS
CRD#: 2197058
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 6636 LONGSHORE STREET
SUITE 280
DUBLIN, OH 43017
SUITE 280
DUBLIN, OH 43017
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4/13/2016
Employment Separation After Allegations
State Registrations
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Arizona 4/27/2016
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Ohio 4/27/2016
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California 4/27/2016
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Ohio 4/27/2016
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Florida 8/5/2016
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South Carolina 7/12/2022
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Illinois 9/29/2022
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Texas 4/26/2016
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Indiana 4/27/2016
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Texas 4/27/2016
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Kentucky 4/27/2016
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Virginia 4/27/2016
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Missouri 11/8/2016
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Wisconsin 4/27/2016
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North Carolina 10/6/2022
SRO Registrations
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Learn about permitted activities of registered principals
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Registered with this firm since 4/26/2016
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Registered with this firm since 4/27/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/09/2007 - 04/26/2016 | DUBLIN, OH | |
B | 02/09/2007 - 04/26/2016 | DUBLIN, OH | |
IA | 11/02/2006 - 02/09/2007 | DUBLIN, OH | |
B | 01/16/1998 - 02/09/2007 | DUBLIN, OH | |
B | 05/03/1994 - 03/02/1998 | LOUISVILLE, KY | |
B | 09/26/1992 - 05/10/1994 | CLEVELAND, OH | |
B | 01/03/1992 - 01/27/1992 | COLUMBUS, OH | |
B | 11/29/1991 - 01/17/1992 |
11/29/1991 - 01/17/1992
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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.