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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-04 |
| TX | RA | APPROVED | 2013-04-05 |
| WA | RA | APPROVED | 2013-04-05 |
Branch Locations
10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Bellevue | WA | 04/2013 | Present |
1. RENTAL PROPERTY DUPLEX; OWNER; 2 HOURS PER YEAR; NOT DURING SECURITY TRADING HOURS. 2. ROCKY'S HOT ROD SHOP; 2520 85TH AVE NE CLYDE HILL WA 98004; BUYING AND RESTORING CLASSIC CARS; CO-PRESIDENT; BUYS CARS; AFFILIATION STARTED 07/31/2016; 10 HOURS PER QUARTER; NOT DURING SECURITIES TRADING HOURS; HE IS CO-OWNERS WITH HIS SON; NOT INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-09 |
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