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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
KS RA APPROVED 2003-05-10
OH RA APPROVED 2003-04-17
MO RA APPROVED 1999-02-26
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • KS RA
    APPROVED
    Since 2003-05-10
  • OH RA
    APPROVED
    Since 2003-04-17
  • MO RA
    APPROVED
    Since 1999-02-26

Branch Locations

Lake Ozark, MO • United States

2342 Technology Drive Suite 300, O'FAllon, MO 63368 • United States

2021 S. Lindbergh Blvd., Frontenac, MO 63131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St Peters MO 09/1997 Present
Other Businesses

1. TRUSTEE NON-FAMILY TRUST.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-01
S63 Uniform Securities Agent State Law Examination 1998-03-13
  • S65 Uniform Investment Adviser Law Examination
    1999-07-01
  • S63 Uniform Securities Agent State Law Examination
    1998-03-13

View on SEC IAPD

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