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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-10-07 |
| TX | RA | APPROVED | 2022-10-07 |
Branch Locations
8044 Montgomery Rd Ste 445, Cincinnati, OH 45236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co., Inc. | Cincinnati | OH | 11/2005 | 10/2022 |
| Raymond James Financial Services, Inc. | Cincinnati | OH | 10/2022 | Present |
| Raymond James Financial Services Advisors, Inc. | Cincinnati | OH | 10/2022 | Present |
| Riegel Financial | Dayton | OH | 10/2022 | Present |
(1)Name of Business: Greater Cincinnati Foundation Address: 720 E Pete Rose Way suite 120, Cincinnati, OH, 45202, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member, Committee Member Investment Related: Yes Start Date: 01/14/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Quarterly Finance and Marketing meetings (2)Name of Business: HK14 Holdings Address: 8044 Montgomery Rd Ste 445, Cincinnati, OH, 45236-2919, United States Activity Type: Support Company - Non Owner Position/Title: Officer - President Investment Related: No Start Date: 10/07/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: S corp for Financial Business (3)Name of Business: Riegel Financial Address: 8044 Montgomery Rd Ste 445, Cincinnati, OH, 45236-2919, United States Activity Type: Support Company - Non Owner Position/Title: Other, Officer - President Investment Related: No Start Date: 10/07/2022 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Owner of HK14 Holdings DBA Riegel Financial used for RJFS (4)Name of Business: Wise Temple Address: 8329 Ridge avenue, Cincinnati, OH, 45236, United States Activity Type: Non profit Position/Title: Officer - Vice President, Board Member, Finance/Investment Committee Member, Executive Member Investment Related: Yes Start Date: 01/14/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Quarterly Board Meetings\Monthly executive Meetings
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-11 |
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