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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-11-13 |
| CA | RA | APPROVED | 2016-11-07 |
Branch Locations
One Montgomery Street Suites 3300, 3500, 3600, & 3700, San Francisco, CA 94104 • United States
Discovery Bay, CA • 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 |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | San Francisco | CA | 10/2010 | 10/2016 |
| Stifel Nicolaus & Co Inc | San Francisco | CA | 10/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-17 |
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