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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-14 |
| WI | RA | APPROVED | 2018-03-16 |
Branch Locations
4321 W. College Ave, Berbee Building, Appleton, WI 54914 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Oshkosh | WI | 10/2012 | 04/2017 |
| B.C. Ziegler And Company | Appleton | WI | 05/2017 | 03/2018 |
| Stifel, Nicolaus & Company, Incorporated | Appleton | WI | 03/2018 | Present |
1. Rental Property; 62 Racine Street, Menasha, WI 54952; Landlord; Collect Rent; 02/28/2020; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related. 2. Trinity Lutheran Church and School; 300 Broad St, Menasha, WI 54952; Lutheran Day School; Member of the Board of Education; Meet once a month to discuss and establish day school policy and procedures; 01/12/2021; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-03 |
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