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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2004-02-26
  • KY RA
    APPROVED
    Since 2004-02-26

Branch Locations

600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Louisville KY 05/1998 Present
Other Businesses

1. A Mother's Mission, Thirty Thoughts for Thirty Days; 7 Muirfield Place Louisville KY 40222; a book that I wrote; author; 08/01/2004; 1 hr/month; not during securities trading hours; not investment-related. 2. Midland Trail Golf Club; 15360 Shelbyville Road Louisville KY 40245; Golf course; Board Member; oversees a golf course; her husband and her are part owners of the course; affiliation started 01/30/2017; 6.0 hours per year; not during securities trading hours; not investment-related. 3. Grateful Living-30 days to GRATITUDE; 7 Muirfield Place Louisville KY 40222;I am writing a devotional book; author; to finish writing the book, self publish and then distribute copies; 2.00 Hour(s) Per Week; not during securities trading hours; Not Investment-Related 4. The 6:21 Experience; 13906 Promenade Greet Louisville KY 40245; A group of women who learn about different charities in the Louisville area and give funds to the charities; participant; May nominate a charity for a grant and to visit and learn more about the charities. For example, all charities are 501C3. Our group nominates 4 charities a year and we go and visit those charities; 01/01/2016; 15 hrs/year; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-08
S63 Uniform Securities Agent State Law Examination 1988-01-05
  • S65 Uniform Investment Adviser Law Examination
    1992-07-08
  • S63 Uniform Securities Agent State Law Examination
    1988-01-05
Other Names
  • Sharon Louise Carpenter
  • Sharon Louise Carpenter

View on SEC IAPD

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