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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-02-10 |
| TN | RA | APPROVED | 2018-12-05 |
Branch Locations
6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Llc | Memphis | TN | 09/2008 | 12/2018 |
| Stifel Nicolaus & Co Inc | Memphis | TN | 12/2018 | Present |
1. TCB Property Management; 65 Union Ave TN 38103; Residential rental property;Managing Member; collect rent and make sure properties are maintained and rented; 01/01/2013; 0.50 Hour(s) Per Day; Not during securities trading hours; Investment-Related 2. SMH Partners; 4414 Walnut Grove Rd, Memphis, TN 38117; Multi-Family Real Estate rental; General Partner in a partnership with two other partners; 10/30/2020; 3 Hours per Month; Not During Securities Trading Hours; Investment-Related. 3. Brookhavem Townhomes LLC; 4488 Sequoia Ave, Memphis, TN 38117; Develop and sell six townhomes; Member; Provide investment capital; 01/14/2021; 5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 4. 757 Court LLC; 5410 Southwood Dr Memphis TN 38120; rental propery; owner; help with design; 2/8/22; 5 hours/month; not during sec trading hours; Inv related 5. Christian Brothers High School; 5900 Walnut Grove Road Memphis, TN 38120; The investment committee is made up of 5 individuals with finance backgrounds/careers that reviews the CBHS endowment; I'm a member of the investment committee. We discuss the endowment and make recommendations to the Finance Committee; Review the IPS for the endowment. Suggest allocation changes to the Finance Committee who can take those recommendations to the CBHS board; 05/20/2025; 2hrs/qtr; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-13 |
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