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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2023-12-19 |
| NY | RA | APPROVED | 2021-05-26 |
| PA | RA | APPROVED | 2015-12-04 |
| TX | RA | APPROVED_RES | 2015-12-04 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | Present |
1. Dwight Englewood School; 315 East Palisade Ave Englewood NJ 07631; Private School; Finance Committee; Helps the school think about spending and fundraising. No direct fundraising or investing responsibility; and Advise School on Strategy; affiliation started 01/01/2016; 4.5 hours per month; not during securities trading hours; not investment-related. 2. Dwight Englewood School; 315 East Palisade Ave Englewood NJ 07631; Private School; Investment Committee; Serving on committee to monitor the performance of the investment manager; affiliation started 11/17/2017; 3.0 hours per quarter; not during securities trading hours; not investment-related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-12 |
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