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BERT ANTHONY COSTALES
CRD#: 2388755
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2650 NORTH MILITARY TRAIL
SUITE 400
BOCA RATON, FL 33431
SUITE 400
BOCA RATON, FL 33431
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Disclosures
30
Years of Experience
View By:
State Registrations
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Alaska 1/10/2018
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Michigan 1/2/2020
B
Arizona 6/6/2018
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Mississippi 9/21/2023
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Arkansas 1/9/2018
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Nevada 1/3/2017
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California 7/31/2007
B
New Hampshire 5/29/2018
B
Colorado 1/3/2017
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New Jersey 7/31/2007
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Connecticut 7/31/2007
B
New Mexico 3/8/2021
B
Delaware 11/1/2018
B
New York 7/31/2007
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Florida 7/31/2007
B
North Carolina 1/3/2017
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Florida 7/31/2007
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Ohio 1/24/2018
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Georgia 1/2/2019
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Oregon 11/17/2016
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Idaho 4/5/2011
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Pennsylvania 12/2/2016
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Illinois 2/19/2020
B
Rhode Island 3/20/2019
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Indiana 1/2/2019
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South Carolina 7/2/2020
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Iowa 11/29/2022
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Texas 7/29/2013
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Kentucky 8/25/2020
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Utah 11/1/2018
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Maine 11/1/2018
B
Virginia 5/16/2018
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Maryland 8/25/2014
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Washington 9/11/2018
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Massachusetts 2/21/2014
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Wisconsin 7/31/2007
SRO Registrations
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IA
Registered with this firm since 7/31/2007
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Registered with this firm since 7/31/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/2002 - 07/31/2007 | FORT LEE, NJ | |
B | 04/29/2002 - 07/31/2007 | FORT LEE, NJ | |
B | 12/18/2000 - 05/13/2002 | NEW YORK, NY | |
B | 01/19/1999 - 12/21/2000 | PURCHASE, NY | |
B | 11/18/1997 - 01/25/1999 | NEW YORK, NY | |
B | 09/25/1996 - 02/24/1997 | NEW YORK, NY | |
B | 08/10/1995 - 10/21/1996 | LOS ANGELES, CA | |
B | 03/14/1994 - 08/09/1995 | NEW YORK, NY |
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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.
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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.