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Detailed Report
Whitney Light Bania
WHITNEY SUZANNE LIGHT
CRD#: 4866167
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 7112 N. FRESNO STREET
180
FRESNO, CA 93720
Registration History
200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BSTONE & YOUNGBERG LLC (CRD# 795)2005 - 2007 (2 years)IAS & Y ASSET MANAGEMENT LLC (CRD# 129754)2007 - 2007 (<1 year)IASTONE & YOUNGBERG LLC (CRD# 795)2006 - 2007 (1 year)
License(s)

State Registrations

B
Alaska 4/11/2023
B
New Jersey 4/11/2023
B
Arizona 4/11/2023
B
New Mexico 4/11/2023
B
California 4/11/2023
B
New York 4/11/2023
IA
California 4/11/2023
B
Oregon 4/11/2023
B
Colorado 4/11/2023
B
Pennsylvania 4/11/2023
B
Florida 4/11/2023
B
South Dakota 4/11/2023
B
Georgia 7/10/2023
B
Tennessee 4/11/2023
B
Hawaii 4/11/2023
B
Texas 4/11/2023
B
Idaho 4/11/2023
IA
Texas 4/11/2023
B
Illinois 4/11/2023
B
Utah 4/11/2023
B
Kansas 4/11/2023
B
Virginia 4/11/2023
B
Massachusetts 4/11/2023
B
Washington 4/11/2023
B
Montana 4/12/2023
B
Wyoming 4/11/2023
B
Nevada 4/11/2023

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)
7112 N. FRESNO STREET 180, FRESNO, CA 93720
Registered with this firm since 4/11/2023
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
7112 N. FRESNO STREET 180, FRESNO, CA 93720
Registered with this firm since 3/23/2023
Previous Registration(s)
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IA
 03/21/2007 - 11/27/2007 S & Y ASSET MANAGEMENT LLC (CRD#:129754) SAN FRANCISCO, CA
IA
 08/21/2006 - 11/27/2007 STONE & YOUNGBERG LLC (CRD#:795) SAN FRANCISCO, CA
B
 04/28/2005 - 11/27/2007 STONE & YOUNGBERG LLC (CRD#:795) SAN FRANCISCO, 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.