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Detailed Report
EDITHA SANTOS SHEMKE
CRD#: 4135649
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 400 SPECTRUM CENTER DRIVE
IRVINE, CA 92618
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2009 (9 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)
Disclosure(s)
View By:
4/30/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/4/2018
B
Montana 7/1/2021
B
California 5/23/2011
IA
Texas 3/22/2019
IA
California 5/24/2011
B
Utah 11/9/2023
B
Florida 5/23/2011
B
Virginia 12/20/2021
B
Michigan 9/5/2024

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 5/24/2011
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 5/23/2011
Previous Registration(s)
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IA
 06/01/2009 - 06/14/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LAGUNA NIGUEL, CA
B
 06/01/2009 - 06/14/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LAGUNA NIGUEL, CA
IA
 08/01/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
B
 03/20/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAGUNA NIGUEL, CA
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.