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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-11-01 |
| TX | RA | APPROVED | 2018-10-31 |
Branch Locations
3777 Tamiami Trail North Suite 300, Naples, FL 34103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bel Air | MD | 04/2009 | 10/2018 |
| Bank Of America, N.A. | Bonita Springs | FL | 11/2009 | 10/2018 |
| Stifel Nicolaus & Co Inc | Naples | FL | 10/2018 | Present |
1. Ave Maria Community Corporation; 5129 Taylor St Ave Maria FL 34142; Preserving, documenting, and promoting Ave Maria and the University; President; Run meetings and delegate tasks; 01/01/2016; 1.00 Hour(s) Per Quarter; not during securities trading hours; Not Investment-Related. 2. Southwest Florida Brew Crafters;5194 Milano St Ave Maria FL 34142;Home brewing club;President of Ave Maria, FL chapter;Organizing and promoting home brewing activities;1/1/17;1.00 Hour(s) Per Week;not during securities trading hours;not investment related. 3. Young People Who Care, Inc.;Frenchville PA 16836;Volunteer organization that provide social services to local residents as well as adult and youth retreats;Board Member;To help principals make informed/educated decisions as part of a finance committee;6/10/19; 2 hr/qtr; not during securities trading hours;not investment related. 4. Ave Maria Community Corporation; 5129 Taylor St Ave Maria FL 34142; Preserving, documenting, and promoting Ave Maria and the University; Board Member; Run meetings and delegate tasks; 01/01/2016; 1.00hr/quarter; not during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-20 |
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