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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-02-10
TN RA APPROVED 2018-12-05
  • TX RA
    APPROVED
    Since 2021-02-10
  • TN RA
    APPROVED
    Since 2018-12-05

Branch Locations

6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119 • 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
J.J.B. Hilliard, W.L. Lyons, Llc Memphis TN 09/2008 12/2018
Stifel Nicolaus & Co Inc Memphis TN 12/2018 Present
  • 09/2008 → 12/2018
    J.J.B. Hilliard, W.L. Lyons, Llc
    Memphis, TN
  • 12/2018 → Present
    Stifel Nicolaus & Co Inc
    Memphis, TN
Previous Registrations
  • 2008-11-19 → 2018-12-07
    J.J.B. Hilliard, W.L. Lyons, Llc
    Memphis, TN
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-18
S63 Uniform Securities Agent State Law Examination 2006-04-13
  • S65 Uniform Investment Adviser Law Examination
    2008-11-18
  • S63 Uniform Securities Agent State Law Examination
    2006-04-13
Designations
Other Names
  • Rob Andrew Mayer

View on SEC IAPD

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