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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-12-06 |
| CA | RA | APPROVED | 2007-10-01 |
Branch Locations
3554 Round Barn Blvd Suite 200, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Santa Rosa | CA | 09/2007 | Present |
1. Humane Society of Sonoma County; 5345 CA-12, Santa Rosa, CA 95407; animal shelter; Finance Committee; 12/20/2018; 3.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related 2. Humane Society of Sonoma County; 5345 CA-12, Santa Rosa, CA 95407; animal shelter; Board of Directors; 11/01/2018; 8.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related 3. Humane Society of Sonoma County; 5345 Highway 12 West Santa Rosa CA 95407; Animal welfare; Executive Committee; as chair of the FC I am part of the EC, as needed meet with BOD Pres and Secretary; 02/03/2018; 5 hrs/year; Not during securities trading hours; Not Investment-Related 4. Humane Society of Sonoma County; 5345 Highway 12 West Santa Rosa CA 95407; Animal welfare; Treasurer; part of executive committee, run finance committee meetings; 06/01/2018; 2 hrs/month; not during security trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-23 |
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