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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Waco | TX | 11/2013 | 03/2021 |
| Stifel Nicolaus & Co Inc | Waco | TX | 09/2021 | Present |
| Ubs Financial Services Inc | Wacp | TX | 04/2021 | 09/2021 |
1. Fuzzy Friends Rescue; 6321 Airport Rd, Waco, TX 76708; Animal rescue and adoption; Board Member; Raise funds, make decisions as a board member, and volunteer at charity events; 02/02/2021; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2.Elite Travel; 904 Gallant Fox Rd Hewitt TX 76643; Travel Agency; I book all of my friends and family's travel each year. This is not to make money. It is to get the benefits and discounts for our travel. I will be booking travel throughout the year; 03/30/2001; 20hrs/year; Not During Securities Trading Hours; Not Investment-Related. 3. 1. Fuzzy Friends Rescue; 6321 Airport Rd, Waco, TX 76708; Provide shelter, food, medical treatment & adoptions to animals that are abandoned, unwanted, or otherwise in need; Chairman of the Board/President; Conduct board meetings and oversee the executive board; 02/17/2026; 60hrs/yr; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-07-28 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-01 |
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