Individual Firm
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DAMIEN DIDIER GERALD CAILLAULT
DAMIEN CAILLAULT
CRD#: 5533161
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 305 MADISON AVENUE
MORRISTOWN, NJ 07960
MORRISTOWN, NJ 07960
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1/4/2017
Customer Dispute
Denied
State Registrations
B
Arizona 8/26/2016
B
Nevada 2/16/2024
B
Colorado 7/18/2024
B
New Hampshire 6/16/2023
B
Connecticut 8/26/2016
B
New Jersey 8/26/2016
B
Delaware 6/9/2023
IA
New Jersey 8/29/2016
B
Florida 8/26/2016
B
New York 8/26/2016
B
Georgia 8/26/2016
B
North Carolina 8/26/2016
B
Illinois 8/26/2016
B
Ohio 1/19/2017
B
Maryland 8/26/2016
B
South Carolina 7/27/2020
B
Minnesota 8/26/2016
IA
Texas 6/27/2023
B
Missouri 2/16/2024
B
Virginia 8/26/2016
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 8/29/2016
B
Registered with this firm since 8/26/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/28/2010 - 09/07/2016 | EAST HANOVER, NJ | |
B | 07/23/2008 - 09/07/2016 | EAST HANOVER, NJ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.