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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2017-02-27 |
Branch Locations
1021 East Cary Street Suite 1950, Richmond, VA 23219 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Fredericksburg | VA | 07/2015 | Present |
1. COMMONWEALTH OF VIRGINIA- NOTARY; 10319 ALTHEA BEND CT MECHANICSVILLE VA 23116; AFFILIATION STARTED 06/01/2012; 0 HOURS PER DAY; N/A DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 2. Lewistown Community Development Authority (Hanover County VA); 8200 Center Path Lane, Ste E, Mechanicsville, VA 23116; Fiduciary agent over the CDA and the bonds issued to support the CDA assets acquired or built; Board Member; Review incremental and special tax funding sources needed to pay debt service on the CDA bonds; 03/01/2023; 3 Hours per Year; Not during securities trading hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-11 |
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