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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-06 |
| NY | RA | APPROVED | 2021-05-26 |
| PA | RA | APPROVED | 2015-12-04 |
| TX | RA | APPROVED | 2015-12-04 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
3777 Tamiami Trail North Suite 300, Naples, FL 34103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | Present |
1. THE FOUNDATION FIGHTING BLINDNESS/NON INVESTMENT RELATED; 7168 COLUMBIA GATEWAY DRIVE, COLUMBIA, MD 21046; Raises funding for degenerative blindness disease; Member of Board of Directors; member of development committee and fund raising; affiliation started 11/07/1997; 8 hours per month; not during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-04 |
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