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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-10-04 |
Branch Locations
2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ladue | MO | 03/1989 | 10/2019 |
| Stifel Nicolaus & Co Inc | Clayton | MO | 10/2019 | Present |
1. Katz I LLC dba Katz I Designs; 16833 Wild Horse Creek Rd, Chesterfield, MO 63005; Jewelry; Owner; Sales and manufacturing; 01/01/2019; 40 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-07-31 |
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