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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-05-03 |
| FL | RA | APPROVED | 2022-04-28 |
| TX | RA | APPROVED_RES | 2022-04-28 |
Branch Locations
100 North Field Drive, Suite 340, Lake Forest, IL 60045 • United States
12800 University Drive Suite 300, Fort Myers, FL 33907 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Northbrook | IL | 07/2011 | 04/2022 |
| Stifel Nicolaus & Co Inc | Naples | FL | 04/2022 | Present |
1. Lakeside 401 LLC; 16701 Cave Cove Fort Myers FL 33913; holding company for storage unit for personal property; member; 01/01/2024; 0.00hrs/day; Not during securities trading hours; Not Investment-Related 2. Lakeside 402 LLC; 16701 Cave Cove 402 Fort Myers FL 33913; Holding company for a storage unit for personal property; 50%; 01/01/2024; 0.00hrs/day; Not during securities trading hours; Not Investment-Related 3. Wildblue Charitable Neighbors; 17001 Wildblue Blvd, Fort Myers, FL 33913; to provide volunteer services to Hunger & Housing, Animal Welfare, Youth Education, Seniors & Veterans of Lee County; I am on the services committee; Be active in Volunteering; 11/01/2024; 5 Hours per Month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-29 |
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