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Detailed Report
SUSAN MARIE DIXON
SUSAN CHRISTIAN, SUSAN LURTZ
CRD#: 2778358
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 400 SPECTRUM CENTER DRIVE
IRVINE, CA 92618
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - Present (14 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2004 (7 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2004 (6 years)
Disclosure(s)
View By:
9/9/2020
Judgment / Lien
License(s)

State Registrations

B
Arkansas 9/6/2019
B
Massachusetts 8/13/2020
B
California 9/7/2010
B
Utah 9/6/2019
IA
California 9/7/2010

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)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 9/7/2010
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 9/7/2010
Previous Registration(s)
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IA
 06/01/2009 - 04/14/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LAGUNA NIGUEL, CA
B
 06/01/2009 - 04/14/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LAGUNA NIGUEL, CA
IA
 10/19/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
B
 10/19/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
IA
 08/24/1998 - 08/05/2004 MORGAN STANLEY (CRD#:7556) LAGUNA HILLS, CA
B
 03/12/1997 - 08/05/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.