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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-07 |
| IA | RA | APPROVED | 2009-08-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Waterloo | IA | 08/2009 | Present |
1. Spangler Cemetery Association;P.O. Box 131 Aurora IA 50607; Cemetery Association; Director; Attend annual meetings; 5/6/19; 2 Hours Per Year; Not during securities trading hours; Not Investment-Related. 2. Secretary of State Notary Division; Lucas Building, 1st Floor, Des Moines, IA 50319; Notary; Assist clients with notary requests; 06/18/2020; 0 Hours per Day; During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-09-11 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-12 |
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