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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_RES 2013-10-09
IL RA APPROVED 2007-09-14
  • TX RA
    APPROVED_RES
    Since 2013-10-09
  • IL RA
    APPROVED
    Since 2007-09-14

Branch Locations

3825 Maine St, Quincy, IL 62305 • 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 & Company, Incorporated Quincy IL 09/2007 Present
Previous Registrations
  • 2006-10-06 → 2007-09-20
    A. G. Edwards & Sons, Inc.
    Quincy, IL
Other Businesses

1. Society of Fine Arts; 300 Civic Center Plaza, Quincy, IL 62301; Non-Profit Serving the needs of Arts Organizations in the Quincy, Illinois area; Endowment Committee Chair; I meet with Bank Trust department and other committee members on the investment of the Society of Fine arts endowment fund. We communicate to the board; 08/01/2010; 6 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Gem City Kiwanis; 639 York St. Quincy IL 62301; Social Service Organization- raising funds for local children's programs; Board Member/1st Vice President; Schedules programs and attends board meetings; affiliation started 10/01/2013; 8 hours per month; not during securities trading hours; not investment-related. 3. The friends of Dr. Richard Eells House; 415 Jersey St, IL, 62301; This organization operates Underground Railroad Museum at the home of Dr. Richard Eells; Board member; Board Meetings to discuss direction of the organization and building. Give periodic tours of the building. Volunteer for open house and other activities; 06/29/2010; 12 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 4. St Peter Church - Quincy, Il; 2600 Maine St Quincy IL 62301; Catholic Church - Religious; Capital Campaign General Chair; 1) Assist Fr Leo to w campaign. 2) Attend Meetings - Roughly 12 in 6 months. 3) Assist w Volunteer Recruitment 4) Evaluatie prospective Donors and assign solicitors 5) Make 10 donor visits 6) Gift; 10/13/2023; 10.00hrs/month; During securities trading hours; Not Investment-Related 5. Quincy University; 1800 College Avenue Quincy IL 62301; University; Class of 1984 Reunion Committee; QU wishes to establish a "Class of 1984 Endowed Scholarship" at Quincy University. I will sign a letter and advocate support of the scholarship that will be sent to other class of 1984 graduates; 04/10/2024; 1.00hr/month; During securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-05
S63 Uniform Securities Agent State Law Examination 2001-06-21
  • S66 Uniform Combined State Law Examination
    2006-10-05
  • S63 Uniform Securities Agent State Law Examination
    2001-06-21
Other Names
  • David Ray Oakley

View on SEC IAPD

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