Individual Firm
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TODD ADDISON HAACKE
CRD#: 2435845
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 9999 CARVER ROAD
BLUE ASH, OH 45242
BLUE ASH, OH 45242
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1/10/2019
Employment Separation After Allegations
6/3/2003
Customer Dispute
Denied
1/27/2003
Customer Dispute
Denied
7/1/2002
Customer Dispute
Settled
State Registrations
B
Alabama 2/4/2019
B
Nevada 3/25/2019
B
Alaska 6/20/2022
B
New Hampshire 3/6/2019
B
Arizona 1/11/2019
B
New Jersey 3/11/2019
B
Arkansas 1/11/2019
B
New Mexico 1/11/2019
B
California 1/11/2019
B
New York 1/11/2019
B
Colorado 4/5/2019
B
North Carolina 1/22/2019
B
Connecticut 1/11/2019
B
Ohio 1/16/2019
B
District of Columbia 1/11/2019
IA
Ohio 1/16/2019
B
Florida 3/19/2019
B
Oklahoma 3/28/2019
B
Georgia 1/11/2019
B
Oregon 3/20/2019
B
Idaho 6/23/2022
B
Pennsylvania 2/1/2019
B
Illinois 3/26/2019
B
South Carolina 1/11/2019
B
Indiana 1/15/2019
B
South Dakota 10/28/2022
B
Iowa 1/11/2019
B
Tennessee 2/26/2019
B
Kansas 8/31/2022
IA
Texas 1/10/2019
B
Kentucky 2/22/2019
B
Texas 2/28/2019
B
Louisiana 6/21/2022
B
Utah 11/10/2020
B
Maryland 1/11/2019
B
Vermont 10/20/2022
B
Michigan 1/11/2019
B
Virginia 1/11/2019
B
Minnesota 1/22/2019
B
Washington 1/11/2019
B
Mississippi 1/22/2019
B
West Virginia 1/11/2019
B
Missouri 11/25/2020
B
Wisconsin 1/11/2019
B
Montana 1/14/2019
B
Wyoming 7/6/2022
B
Nebraska 11/13/2023
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 1/10/2019
B
Registered with this firm since 1/11/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 01/18/2019 | CINCINNATI, OH | |
B | 06/01/2009 - 01/18/2019 | CINCINNATI, OH | |
IA | 12/07/1999 - 06/01/2009 | CINCINNATI, OH | |
B | 11/01/1994 - 06/01/2009 | CINCINNATI, OH |
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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.
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.