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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-30 |
| TX | RA | APPROVED_RES | 2019-10-22 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rochester | NY | 07/2000 | 10/2019 |
| Bank Of America, Na | Pittsford | NY | 11/2009 | 10/2019 |
| Stifel Nicolaus & Co Inc | Rochester | NY | 10/2019 | Present |
1. St. Bonaventure University - National Alumni Association; PO Box L. St Bonaventure University, St. BOonaventure, NY 14778; Board Member; Support the mission and promote the interest of the university; 09/01/2020; 15 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-01 |
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