• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ELLIOTT KATZ
CRD#: 839300
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1249 W. LIEBAU ROAD, SUITE 250
MEQUON, WI 53092
Registration History
1980198519901995200020052010201520202025IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2003 - Present (21 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)1977 - Present (47 years)
Disclosure(s)
View By:
4/8/2024
Customer Dispute
Denied
7/20/2009
Customer Dispute
Denied
8/22/2007
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 3/11/1994

B
New Jersey 5/25/2000

B
California 3/24/1984

B
New York 3/18/1986

B
Colorado 9/5/1995

B
North Carolina 4/28/1997

B
Florida 5/9/1983

B
Ohio 7/6/1995

B
Georgia 10/18/2021

B
Oregon 2/2/2025

B
Illinois 8/4/1977

B
Tennessee 7/15/2008

IA
Indiana 9/25/2003

B
Texas 6/18/2003

B
Maryland 1/10/2003

IA
Texas 10/22/2009

B
Michigan 6/9/1997

B
Vermont 4/11/2012

B
Missouri 6/22/2021

B
Wisconsin 8/26/1983

B
Montana 6/30/2020

IA
Wisconsin 12/20/2011

SRO Registrations

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)
1249 W. LIEBAU ROAD, SUITE 250, MEQUON, WI 53092
Registered with this firm since 5/9/2003

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1249 W. LIEBAU ROAD, SUITE 250, MEQUON, WI 53092
Registered with this firm since 7/1/1977

For additional information about investment advisers or broker-dealers, please visit
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.