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Stephen M Thomsen
STEPHEN MATTHEW THOMSEN
CRD#: 5314952
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1776 I STREET
WASHINGTON, DC 20006
Registration History
2008201020122014201620182020202220242 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2018 (8 years)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Arizona 6/25/2021

B
New Jersey 7/21/2021

B
California 6/25/2021

B
New York 2/23/2018

B
Colorado 10/29/2020

B
North Carolina 2/23/2018

B
Delaware 2/23/2018

B
Oregon 2/23/2018

B
District of Columbia 2/23/2018

B
Pennsylvania 2/23/2018

IA
District of Columbia 3/13/2018

B
South Carolina 9/29/2020

B
Florida 2/23/2018

B
Tennessee 12/11/2024

B
Georgia 2/23/2018

IA
Texas 2/23/2018

B
Maryland 2/23/2018

B
Texas 10/22/2024

B
Massachusetts 2/4/2022

B
Vermont 11/19/2021

B
Nevada 11/3/2020

B
Virginia 2/23/2018

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1776 I STREET, WASHINGTON, DC 20006
Registered with this firm since 2/23/2018

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1776 I STREET, WASHINGTON, DC 20006
Registered with this firm since 2/23/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/23/2009 - 02/26/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WASHINGTON, DC
B
10/23/2009 - 02/26/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WASHINGTON, DC
IA
05/30/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ROCKVILLE, MD
B
05/10/2007 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ROCKVILLE, MD
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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.