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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-02-14 |
| TX | RA | APPROVED_RES | 2019-02-14 |
Branch Locations
221 East Fourth Street, Cincinnati, OH 45202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Cincinnati | OH | 06/2011 | 02/2019 |
| Stifel Nicolaus & Co Inc | Cincinnati | OH | 02/2019 | Present |
1. Xavier University; 3800 Victory Pkwy Cincinnati Ohio 45206; Education; Finance Executive Board of Advisors; counsel and advise; 08/31/2011; 5.00 Hour(s) Per Year; Not during securities trading hours; Not Investment-Related. 2. DePaul Cristo Rey HS; 1133 Clifton Hills Ave Cincinnati, Ohio 45220; Education; Finance Board Member; Investment Advice; 05/15/2018; 12.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related. 3. Notary Public; 201 E 4th, Cincinnati, OH 45202; National Notary; Notary; 02/14/2019; 1 Hour per Month; During Securities Trading Hours; Not Investment-Related. 4. Family Foundation; 3283 Hardisty Ave; Cincinnati, OH 45208; Family foundation; Charitable account; Invest and oversee; 03/26/2021; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-12-12 |
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