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TRAVIS PENHOLLOW MOSS
CRD#: 3115319
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2850 NORTH HARWOOD
18TH FLOOR
DALLAS, TX 75201
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2015 (5 years)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (9 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)1998 - 2007 (8 years)
License(s)

State Registrations

B
Arizona 2/6/2023

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
Colorado 12/16/2022

B
North Carolina 1/21/2016

B
Connecticut 1/21/2016

B
Ohio 1/21/2016

B
Florida 1/21/2016

B
Oklahoma 1/21/2016

B
Idaho 1/21/2016

B
Pennsylvania 1/21/2016

B
Kansas 1/21/2016

B
Rhode Island 1/21/2016

B
Louisiana 1/21/2016

B
South Carolina 1/21/2016

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 1/11/2021

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

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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 - 02/17/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) DALLAS, TX
B
01/16/2015 - 02/17/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) DALLAS, TX
IA
03/06/2009 - 01/20/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
B
03/06/2009 - 01/20/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
IA
08/06/2007 - 04/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
07/10/2007 - 04/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
09/16/1998 - 07/06/2007 BANC OF AMERICA SECURITIES LLC (CRD#:26091) TULSA, OK
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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.