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SHAWN JAMES EZZO
CRD#: 3023853
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2850 NORTH HARWOOD
18TH FLOOR
DALLAS, TX 75201
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (9 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2009 - 2015 (5 years)BSTANFORD GROUP COMPANY (CRD# 39285)2009 - 2009 (<1 year)BSTANFORD GROUP COMPANY (CRD# 39285)2005 - 2005 (<1 year)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2005 (1 year)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2002 - 2003 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1999 - 2002 (2 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2015 (<1 year)
Disclosure(s)
View By:
11/10/2018
Financial
Final
11/10/2018
Financial
Final
License(s)

State Registrations

B
Arizona 7/6/2018

B
Nevada 1/21/2016

B
Arkansas 1/21/2016

B
New Hampshire 1/21/2016

B
California 1/21/2016

B
New Mexico 3/26/2018

B
Connecticut 1/21/2016

B
North Carolina 1/21/2016

B
Florida 1/21/2016

B
Ohio 1/21/2016

B
Idaho 1/21/2016

B
Oklahoma 1/21/2016

B
Illinois 1/21/2016

B
Pennsylvania 1/21/2016

B
Indiana 1/21/2016

B
Rhode Island 1/21/2016

B
Kansas 1/21/2016

B
South Carolina 1/21/2016

B
Louisiana 1/21/2016

B
Tennessee 1/22/2018

B
Maine 1/21/2016

B
Texas 1/21/2016

B
Maryland 1/21/2016

IA
Texas 1/21/2016

B
Michigan 1/21/2016

B
Utah 1/21/2016

B
Missouri 1/21/2016

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 1/21/2016

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2850 NORTH HARWOOD 18TH FLOOR, DALLAS, TX 75201
Registered with this firm since 1/21/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/16/2015 - 02/18/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) DALLAS, TX
B
01/16/2015 - 02/18/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) DALLAS, TX
IA
02/24/2014 - 01/20/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
B
08/10/2009 - 01/20/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
B
03/05/2009 - 03/23/2009 STANFORD GROUP COMPANY (CRD#:39285) DALLAS, TX
B
03/30/2005 - 07/27/2005 STANFORD GROUP COMPANY (CRD#:39285) HOUSTON, TX
B
08/18/2003 - 03/24/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
02/20/2002 - 08/20/2003 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
B
10/13/1999 - 02/25/2002 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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Broker
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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.