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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-10-14
CO RA APPROVED 2009-05-29
  • TX RA
    APPROVED
    Since 2009-10-14
  • CO RA
    APPROVED
    Since 2009-05-29

Branch Locations

44 Cook Street Suite 450, Denver, CO 80206 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Denver CO 05/2009 Present
  • 05/2009 → Present
    Stifel Nicolaus & Co Inc
    Denver, CO
Previous Registrations
  • 2008-01-01 → 2009-06-01
    Greenwood Village, CO
  • 2001-07-05 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Greenwood Village, CO
    Greenwood Village, CO
    St. Louis, MO
Other Businesses

1. COLORADO BALLET; 1075 Santa Fe Drive Denver CO 80204; Ballet Company; Executive Committee; Governance and Administration oversight; affiliation started 05/01/2006; 10 hours per month; not during securities trading hours; not investment- related. 2. St Anne's Episcopal School; 2701 South York Street Denver CO 80210; k-8 School; Chair of the Endowment Committee; Works with the committee and outside business consultants to make investments decisions and set spending policy for the Endowment fund of the school; affiliation started 06/01/2011; 5 hours per month; during securities trading hours; not investment-related. 3. ABC Breck LLC; 183 Lone Hand Way, Breckenridge, CO 80424; Co-owner of real estate- maintain the property and pay the bills; 04/02/2012; 8.00 Hour(s) Per Year; Not during securities trading hours; Investment-Related 4.Chinese Children Adoption International; 6920 South Holly Circle, Denver, CO 80112; adoption services; Board Member; Provide oversight of the organization and oversight of the outside investment manager; 01/25/2024; 12 Hours per Year; Not during securities trading hours; Not Investment-Related 5. Chinese Children Adoption International; 6920 South Holly Circle, Denver, CO 80112; International Adoption; Investment Committee; Oversight of the investment manager and the finances of the organization; 02/28/2024; 8 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 6. Chinese Children Adoption International; 6920 South Holly Circle, Denver, CO 80112; International Adoption; Treasurer; Oversee funds and monitor dep, recpts and disb; 01/01/2026; 4 Hours per Qtr; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-09
  • S66 Uniform Combined State Law Examination
    2001-05-09
Designations

View on SEC IAPD

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