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ANDREW SCOTT HARVEY
CRD#: 4482129
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 16870 WEST BERNARDO DRIVE
SUITE 150
SAN DIEGO, CA 92127
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2008 - 2015 (6 years)2 FIRMS2015 - Present (9 years)BM.L. STERN & CO., LLC. (CRD# 8327)2001 - 2008 (7 years)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
Disclosure(s)
View By:
7/17/2014
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 9/25/2015

B
New Jersey 3/22/2024

B
California 9/25/2015

B
New Mexico 7/7/2022

IA
California 9/28/2015

B
New York 3/24/2024

B
Colorado 7/22/2021

B
North Carolina 11/29/2017

B
Florida 9/25/2015

B
Oregon 4/26/2021

B
Georgia 8/29/2018

B
South Dakota 4/2/2020

B
Hawaii 2/2/2016

B
Texas 9/25/2015

B
Michigan 4/11/2018

B
Utah 2/3/2016

B
Missouri 12/2/2020

B
Washington 9/25/2015

B
Nevada 5/23/2016

B
Wyoming 5/3/2021

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)
16870 WEST BERNARDO DRIVE SUITE 150, SAN DIEGO, CA 92127
Registered with this firm since 9/28/2015

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
16870 WEST BERNARDO DRIVE SUITE 150, SAN DIEGO, CA 92127
Registered with this firm since 9/25/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/10/2008 - 10/23/2015 HILLTOP SECURITIES INC. (CRD#:6220) SAN DIEGO, CA
B
12/10/2008 - 10/23/2015 HILLTOP SECURITIES INC. (CRD#:6220) SAN DIEGO, CA
IA
05/24/2004 - 12/19/2008 M. L. STERN & CO, LLC. (CRD#:8327) SAN DIEGO, CA
B
12/11/2001 - 12/19/2008 M.L. STERN & CO., LLC. (CRD#:8327) SAN DIEGO, CA
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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.