CHRISTOPHER D STODDARD is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 20 CUSTOM HOUSE STREET, BOSTON, MA, 02110.
CHRISTOPHER D STODDARD has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 15, 2016
CHRISTOPHER D STODDARD has 5 Disclosure Event(s).
Date: May 09, 2018 Category: Regulatory Initiated By: California Department of Insurance Allegations: As a result of the FINRA AWC, Fine and Suspension in 2017, The California Insurance commissioner suspended my Insurance license for 5 days beginning June 25, 2018. Resolution: Order SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: All Capacities Duration: 5 Days Start Date: 6/25/2018 End Date: 6/29/2018
Date: January 10, 2018 Category: Regulatory
Date: August 16, 2017 Category: Regulatory
Date: November 15, 2016 Category: Employment Separation After Allegations Firm Name: WELLS FARGO ADVISORS Termination Type: Discharged Allegations: Terminated for activity associated with departure from employment at Morgan Stanley.
Date: May 29, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: DURING THE PROCESS OF PAYING OFF A LOAN EARLY the ADVISOR NEGOTIATED A PREPAYMENT DISCOUNT TO THE OUTSTANDING BALANCE. LENDER ISSUED a SATISFACTION of MORTGAGE and CLOSED THE LOAN at the TIME of PAYMENT to a Settled PAID IN FULL STATUS. LOAN was PAID in Full 14 years Early.
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