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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 2009-04-07
  • TX RA
    APPROVED
    Since 2009-04-07

Branch Locations

500 North Shoreline Suite 603, Corpus Christi, TX 78401 • 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 Corpus Christi TX 04/2009 Present
  • 04/2009 → Present
    Stifel Nicolaus & Co Inc
    Corpus Christi, TX
Previous Registrations
  • 2008-01-01 → 2009-04-23
    Corpus Christi, TX
  • 2002-11-22 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Corpus Christi, TX
    St. Louis, MO
    Corpus Christi, TX
Other Businesses

1.City of Portland Texas Planning & Zoning Commission; 1900 Billy G. Webb Portland TX 78374; Reviewing & take final action on subdivisions as well as review & make recommendations to city council on zoning applications; Planning & Zoning Commission Member; affiliation started 07/09/2013; 1.0 hour per month; not during securities trading hours; not investment-related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-21
S63 Uniform Securities Agent State Law Examination 2001-12-06
  • S66 Uniform Combined State Law Examination
    2002-11-21
  • S63 Uniform Securities Agent State Law Examination
    2001-12-06

View on SEC IAPD

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