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JOHN ROBERT CARPENTER
CRD#: 2693859
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2850 NORTH HARWOOD
18TH FLOOR
DALLAS, TX 75201
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2006 (10 years)2 FIRMS2006 - 2020 (14 years)2 FIRMS2020 - Present (4 years)IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2020 - 2020 (<1 year)
Disclosure(s)
View By:
4/1/2004
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 10/28/2020

B
North Carolina 7/16/2024

B
California 10/28/2020

B
Oregon 10/28/2020

B
Georgia 10/30/2020

B
Texas 10/29/2020

B
Idaho 4/15/2021

IA
Texas 11/4/2020

B
Illinois 4/28/2021

B
Virginia 10/28/2020

B
Kansas 8/27/2024

B
Washington 10/28/2020

B
Louisiana 10/28/2020

B
Wisconsin 10/28/2020

B
New York 1/8/2021

SRO Registrations

B
Cboe BZX Exchange, Inc.

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)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 11/4/2020

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 10/28/2020

Previous Registration(s)
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IA
02/10/2006 - 10/29/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
02/10/2006 - 10/29/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
IA
10/28/2020 - 10/28/2020 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST LOUIS, MO
IA
01/31/1996 - 03/09/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
01/30/1996 - 03/09/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, 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.