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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-02-04 |
| NY | RA | APPROVED | 2021-05-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Rochester | NY | 02/2009 | 01/2019 |
| Stifel Nicolaus & Co Inc | Rochester | NY | 01/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-17 |
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