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NEIL CAMPBELL STONE
NEIL STONE
CRD#: 2727700
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1300 POST OAK BLVD.
HOUSTON, TX 77056
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - Present (9 years)BGOLDMAN, SACHS & CO. (CRD# 361)1998 - 2013 (14 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 1998 (1 year)
License(s)

State Registrations

B
Arizona 12/4/2015

B
Montana 1/3/2018

B
California 12/4/2015

B
New Mexico 12/4/2015

B
Colorado 12/4/2015

B
New York 12/4/2015

B
Delaware 5/11/2023

B
North Carolina 12/4/2015

B
Florida 12/4/2015

B
Oklahoma 12/4/2015

B
Georgia 12/4/2015

B
Texas 12/4/2015

B
Louisiana 12/4/2015

IA
Texas 12/4/2015

B
Massachusetts 12/4/2015

B
Utah 12/4/2015

B
Missouri 11/21/2022

B
Wyoming 12/4/2015

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1300 POST OAK BLVD., HOUSTON, TX 77056
Registered with this firm since 12/4/2015

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1300 POST OAK BLVD., HOUSTON, TX 77056
Registered with this firm since 12/4/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/15/2013 - 12/04/2015 BARCLAYS CAPITAL INC. (CRD#:19714) HOUSTON, TX
B
01/07/2013 - 12/04/2015 BARCLAYS CAPITAL INC. (CRD#:19714) HOUSTON, TX
B
09/01/1998 - 01/09/2013 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
B
10/03/1996 - 05/29/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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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.