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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2014-01-16 |
Branch Locations
3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Rochester | MN | 10/2009 | Present |
1. 125 Live/Rochester Senior Citizens Center; 125 Elton Hills Dr NW, Rochester, MN 55901; Finance Committee; Review the finance position of the organization; 01/01/2012; 2 hours per month; during securities trading hours; not investment-related. 2. Church of St. John; 11 4th Ave SW Rochester MN 55902; Member of the finance council; quarterly review of financial statements, review and provide guidance on the parishes financial activities; 6/14/2011; 1 hours per quarter; not during securities trading hours; Not Inv Related 3. 125 Live; 125 Elton Hills Dr NW, Rochester, MN 55901; Senior/community center providing social and physical fitness programming for active adults; Ex-officio Member board of directors, non-voting member of the finance committee; Sit on finance committee; 01/01/2025; 8 hours per month; during securities trading hours; not investment-related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-19 |
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