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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-26 |
| FL | RA | APPROVED | 2018-10-10 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Albany | NY | 02/2016 | 10/2018 |
| Stifel Nicolaus & Co Inc | Sarasota | FL | 10/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 1989-12-19 |
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