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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_RES 2009-10-22
MO RA APPROVED 1999-02-26
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • MO RA
    APPROVED
    Since 1999-02-26

Branch Locations

7733 Forsyth Blvd. Suite 1000, Clayton, MO 63105 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Clayton MO 01/1996 Present
Other Businesses

1. Metropolitan Community Churches Board of Pensions; Board Member; 2 Hours per Quarter; No Compensation. 2. UFMCC Board of Pensions; PO Box 9917, Wichita Falls, TX 76308; Profit sharing that serves pastors; President; Oversee operations of pension plan; 09/25/2021;4 Hours per Week; During Securities Trading Hours; Investment-Related. 3. Stray Dog Theatre; 2336 Tennessee Ave St Louis, MO 63104; Theater, childrens after school programming and theatre, programs for seniors; Board Member at large; work with staff to promote, fund raise, update governance and assist as needed; 09/18/2023; 6.00 hrs/month; Not during securities trading hours; Not Investment-Related 4. Rental property; 915 Broad St Florence NJ 08518; Landlord/owner; manage property; 02/24/2022; 0.00hrs/day; Not during securities trading hours; Investment-Related 5. Doorways Housing; 1101 North Jefferson Ave St Louis, MO 63106; DOORWAYS improves the quality of life of people affected by HIV, illness, and poverty, advancing their stability and well-being; Member Board of Directors; Member of the Board, voting and participant in Governance Committee; 01/01/2026; 5hrs/mth; During securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-27
S63 Uniform Securities Agent State Law Examination 1997-03-10
  • S65 Uniform Investment Adviser Law Examination
    2006-07-27
  • S63 Uniform Securities Agent State Law Examination
    1997-03-10

View on SEC IAPD

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