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WAYNE DELOSS BREYFOGLE
CRD#: 840373
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1125 SOUTH 103RD STREET, ONE PACIFIC PLACE
OMAHA, NE 68124
OMAHA, NE 68124
View By:
10/29/2001
Customer Dispute
Denied
State Registrations
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Alabama 7/2/2015
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Nebraska 11/30/2000
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Arizona 7/27/2000
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Nevada 7/27/2000
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Arkansas 1/3/2019
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New Jersey 1/3/2019
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California 7/27/2000
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New Mexico 5/16/2008
B
Colorado 1/9/2023
B
New York 7/2/2015
B
Delaware 5/31/2019
B
North Carolina 7/2/2015
B
Florida 7/27/2000
B
North Dakota 10/6/2023
B
Georgia 1/25/2021
B
Ohio 5/13/2021
B
Hawaii 1/3/2019
B
Oklahoma 1/3/2019
B
Idaho 2/13/2019
B
Pennsylvania 7/2/2015
B
Illinois 5/21/2002
B
Rhode Island 8/23/2017
B
Indiana 1/3/2019
B
South Carolina 2/18/2020
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Iowa 7/27/2000
B
South Dakota 1/24/2014
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Kansas 7/27/2000
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Tennessee 4/21/2021
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Kentucky 3/11/2024
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Texas 1/3/2005
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Maryland 1/14/2003
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Texas 11/12/2015
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Massachusetts 4/16/2020
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Utah 2/13/2019
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Michigan 1/3/2019
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Vermont 11/27/2023
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Minnesota 7/27/2000
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Virginia 1/3/2005
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Missouri 7/27/2000
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Washington 7/2/2015
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Montana 7/23/2020
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Wisconsin 5/10/2017
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Nebraska 7/27/2000
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 11/30/2000
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Registered with this firm since 7/27/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/21/1993 - 07/27/2000 | MILWAUKEE, WI | |
B | 09/04/1990 - 08/03/1993 | ST. LOUIS, MO | |
B | 07/07/1989 - 09/04/1990 | ||
B | 05/14/1988 - 08/02/1989 | ||
B | 10/19/1981 - 05/14/1988 |
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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.
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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.