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JAMES KYLE ROCKFORD
JIM ROCKFORD
CRD#: 2454607
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 FOUR CHASEWOOD, 20329 STATE HIGHWAY 249
SUITE 150
HOUSTON, TX 77070
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (11 years)BOPPENHEIMER & CO., INC. (CRD# 630)1995 - 1996 (1 year)BTEXAS CAPITAL SECURITIES, INC. (CRD# 25564)1994 - 1995 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2008 (5 years)
Disclosure(s)
View By:
5/26/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/25/2018

B
Massachusetts 4/6/2011

B
California 9/12/2024

B
Michigan 11/3/2020

B
Colorado 10/9/2024

B
Missouri 8/2/2021

B
Connecticut 9/14/2017

B
New York 5/29/2018

B
Florida 4/14/2009

B
Ohio 2/17/2016

B
Georgia 4/14/2009

B
Oklahoma 6/24/2015

B
Illinois 4/14/2009

B
Texas 4/14/2009

B
Indiana 12/1/2020

IA
Texas 4/14/2009

B
Maryland 2/16/2018

B
Virginia 4/28/2014

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)
FOUR CHASEWOOD, 20329 STATE HIGHWAY 249 SUITE 150, HOUSTON, TX 77070
Registered with this firm since 4/14/2009

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
FOUR CHASEWOOD, 20329 STATE HIGHWAY 249 SUITE 150, HOUSTON, TX 77070
Registered with this firm since 4/14/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/01/2008 - 04/16/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) SPRING, TX
B
01/01/2008 - 04/16/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) SPRING, TX
B
02/15/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SPRING, TX
IA
11/15/2002 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SPRING, TX
B
02/08/1995 - 03/13/1996 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
B
05/25/1994 - 02/08/1995 TEXAS CAPITAL SECURITIES, INC. (CRD#:25564) HOUSTON, TX
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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.