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Margaret Ann Smith

Stifel, Nicolaus & Company, Incorporated

St Louis, MO

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2010-08-30
  • MO RA
    APPROVED
    Since 2010-08-30

Branch Locations

520 Maryville Centre Drive Suite 410, St Louis, MO 63141 • 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
Stifel Nicolaus & Co Inc St. Peters MO 08/2008 Present
  • 08/2008 → Present
    Stifel Nicolaus & Co Inc
    St. Peters, MO
Other Businesses

NOTARY PUBLIC; NOTORIZE DOCUMENTS; 10 HOURS PER YEAR; DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-08-27
S63 Uniform Securities Agent State Law Examination 1997-04-04
  • S65 Uniform Investment Adviser Law Examination
    2010-08-27
  • S63 Uniform Securities Agent State Law Examination
    1997-04-04
Other Names
  • Margaret A Utz
  • Maggie Ann Utz

View on SEC IAPD

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