Individual Firm
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JEREMY BRADFORD DUCK
JEREMY B DUCK
CRD#: 2385208
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 800 SHADES CREEK PARKWAY
SUITES 750 & 775
BIRMINGHAM, AL 35209
SUITES 750 & 775
BIRMINGHAM, AL 35209
View By:
4/13/2005
Customer Dispute
Settled
State Registrations
B
Alabama 8/14/2014
B
Louisiana 8/14/2014
IA
Alabama 8/14/2014
B
Mississippi 11/19/2020
B
Arizona 8/14/2014
B
North Carolina 1/12/2021
B
Colorado 5/7/2019
B
South Carolina 5/31/2022
B
Florida 8/15/2014
B
Tennessee 7/6/2017
B
Georgia 8/14/2014
B
Texas 7/12/2021
B
Indiana 1/2/2015
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/14/2014
B
Registered with this firm since 8/14/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/27/2006 - 08/19/2014 | HOMEWOOD, AL | |
B | 03/10/2006 - 08/19/2014 | HOMEWOOD, AL | |
B | 11/17/2003 - 03/07/2006 | JASPER, AL | |
IA | 08/30/2000 - 09/11/2002 | MONTGOMERY, AL | |
B | 08/14/2000 - 09/11/2002 | WEEHAWKEN, NJ | |
B | 01/08/1999 - 08/14/2000 | NEW YORK, NY | |
B | 07/19/1996 - 12/11/1998 | ST. LOUIS, MO |
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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.