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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-18 |
| TX | RA | APPROVED_RES | 2014-06-30 |
Branch Locations
2515 South Road Suite 202, Poughkeepsie, NY 12601 • United States
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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Poughkeepsie | NY | 07/2011 | Present |
1. Community Foundation of the Hudson Valley; 80 Washington St Poughkeepsie, NY 12610; Non Profit Foundation; Member of Finance/Investment Committee; General discussion of community giving; 07/31/2011; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-18 |
| S66 | Uniform Combined State Law Examination | 2001-02-26 |
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