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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2025-02-06 |
| TX | RA | APPROVED_RES | 2020-01-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Bend | OR | 08/2011 | 10/2019 |
| Stifel Nicolaus & Co Inc | Bend | OR | 10/2019 | Present |
1. Notary for the State of Oregon; 3052 NW Merchant Way Bend OR 97703;Notarize documents for clients and/or employees as needed;5/1/1999;3 hr/qtr; during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-29 |
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