Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
19952000200520102015202020252 FIRMS2000 - 2000 (<1 year)2 FIRMS2008 - Present (17 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2001 - 2008 (6 years)BMERCANTILE INVESTMENT SERVICES... (CRD# 19908)1997 - 2000 (2 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1996 - 1997 (1 year)IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2006 - 2008 (1 year)
Disclosure(s)
View By:
3/4/1992
Criminal
Final Disposition
License(s)

State Registrations

B
California 2/4/2008
B
Indiana 8/7/2008
IA
California 1/2/2009
B
Louisiana 4/7/2022
B
Connecticut 7/11/2018
B
Missouri 2/4/2008
IA
Connecticut 5/20/2021
IA
Missouri 2/4/2008
IA
Florida 1/16/2020
B
Texas 6/2/2015
B
Illinois 2/4/2008
IA
Texas 11/15/2016
IA
Illinois 1/2/2009

SRO Registrations

B
 FINRA

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
CUTTER & COMPANY, INC. (CRD#:22449)
FENTON, MO
Registered with this firm since 2/4/2008
B
CUTTER & COMPANY, INC. (CRD#:22449)
FENTON, MO
Registered with this firm since 2/4/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/27/2006 - 02/21/2008 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CLAYTON, MO
B
 03/08/2001 - 02/21/2008 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CLAYTON, MO
B
 02/24/2000 - 04/19/2000 FFP SECURITIES, INC. (CRD#:16337) CHESTERFIELD, MO
B
 01/03/2000 - 02/16/2000 FIRSTAR INVESTMENT SERVICES,INC. (CRD#:14536) MORRIS PLAINS, NJ
B
 06/04/1997 - 01/03/2000 MERCANTILE INVESTMENT SERVICES, INC. (CRD#:19908) ST. LOUIS, MO
B
 04/09/1996 - 04/08/1997 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.