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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-13 |
| WI | RA | APPROVED | 2018-03-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B.C. Ziegler And Company | West Bend | WI | 03/2016 | 03/2018 |
| Stifel, Nicolaus & Company, Incorporated | West Bend | WI | 03/2018 | Present |
1. Independent Contractor-Richard Pesich;859 Lantern Ct Grafton WI 53024;Musical Entertainment;Vocalist;6/25/19;10 hr/qtr;not during securities trading hours;not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-30 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-02 |
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