Best Investors Account Sign in
Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-05-05
  • TX RA
    APPROVED
    Since 2022-05-05

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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
Bank Of America, N.A. Dallas TX 12/2009 05/2022
Stifel Nicolaus & Co Inc Dallas TX 05/2022 Present
  • 12/2009 → 05/2022
    Bank Of America, N.A.
    Dallas, TX
  • 05/2022 → Present
    Stifel Nicolaus & Co Inc
    Dallas, TX
Previous Registrations
Other Businesses

1. Baylor Scott and White Foundation; 3600 Gaston Ave, Ste 100, Dallas, TX 75246; Foundation for Network of Hospitals; Advisory Board Member; To serve the community by raising awareness of the Hospital network locally; 05/13/2022; 6 Hours per Year; Not during securities trading hours; Not Investment-Related 2. AGTX, LLC; 2600 Round Table Blvd Lewisville TX 76056; holds private investments; owner; monitor passive investment; 03/03/2004; 1 hr/ year; not during securities trading hours; Invested Related 3. Maine Property, LLC; 2600 Round Table Blvd Lewisville TX 75056; Real estate holding ; Owner; Monitor passive inv; 4/28/14; 5 hrs per year; not during security trading hours; inv related 4. DBYD, LLC; 2600 Round Table Blvd Lewisville, TX 75056; To hold drilling interest in oil and gas properties. These properties are operated by Doman Capital LLC; Owner/member; Fund the drilling of oil and gas properties; 01/09/2026; 2hrs/mth; Not during securities trading hours; Investment related 5. Matador 439, LLC; 2600 Round Table Blvd Lewsiville, TX 75056; Oil and gas drilling; Owner/member; Fund oil and gas drilling operation; 01/09/2026; 2hrs/mth; Not during securities trading hours; Investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-10
S63 Uniform Securities Agent State Law Examination 1996-06-28
  • S65 Uniform Investment Adviser Law Examination
    2001-04-10
  • S63 Uniform Securities Agent State Law Examination
    1996-06-28

View on SEC IAPD

More in Dallas, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor