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ALAN DOUGLAS BEATTY
CRD#: 6167817
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 222 MADISON STREET
JEFFERSON CITY, MO 65101
Registration History
2014201520162017201820192020202120222023202420252026IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2015 - Present (10 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2014 - Present (10 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Arizona 4/6/2016

IA
Missouri 1/23/2015

B
California 1/5/2021

B
Nebraska 4/1/2015

B
Colorado 4/6/2016

B
Nevada 4/6/2016

B
Florida 4/6/2016

B
New York 4/6/2016

B
Georgia 4/6/2016

B
Ohio 4/22/2015

B
Illinois 1/4/2018

B
Oklahoma 9/30/2019

B
Indiana 4/6/2016

B
South Carolina 4/6/2016

B
Kansas 5/28/2015

B
Texas 2/24/2016

B
Maine 1/5/2021

B
Virgin Islands 4/6/2016

B
Maryland 6/15/2021

B
Virginia 4/26/2017

B
Missouri 1/23/2015

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)
222 MADISON STREET, JEFFERSON CITY, MO 65101
Registered with this firm since 1/23/2015

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
222 MADISON STREET, JEFFERSON CITY, MO 65101
Registered with this firm since 11/26/2014

Previous Registration(s)
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B
09/24/2014 - 09/26/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) COLUMBIA, MO
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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.