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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-01-29 |
| NY | RA | APPROVED | 2021-10-13 |
| TX | RA | APPROVED | 2021-09-01 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 01/2007 | 08/2021 |
| Stifel Nicolaus & Co Inc | New York | NY | 09/2021 | Present |
1. The Bedford Village Chowder & Marching Club; Route 22, Bedford, NY 10506; Volunteer organization that raised money for underprivileged children; Board Member; Volunteer; 09/01/2019; 40 Hours per Year; During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-23 |
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