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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-11-12
AL RA APPROVED 2015-07-07
  • TX RA
    APPROVED_RES
    Since 2015-11-12
  • AL RA
    APPROVED
    Since 2015-07-07

Branch Locations

800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Previous Registrations
  • 2007-09-19 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2006-02-21 → 2007-09-24
    Birmingham, AL
    Birmiingham, AL
Other Businesses

1. Alabama Symphony Orchestra Endowment Board; 3621 Sixth Avenue South Birmingham AL 35222; Supports the Alabama Symphony Orchestra; Board Member; Advisory; affiliation started 07/25/2017; 1.0 hour per month; not during securities trading hours; not investment-related. 2. Canterbury United Methodist Church- Day Care; 350 Overbrook Road Mountain Brook AL 35213; Religious-Day Care; Board Member; Advisory; affiliation started 06/01/2017; 1.0 hours per month; not during securities trading hours; not investment-related. 3. Phi Gamma Delta; 976 University Ln, Tuscaloosa, AL 35401; Board member; 06/01/2015; 4.00 Hour(s) Per Month - may be during securities trading hours; Not Investment-Related. 4. Alabama Symphony Endowment; 101 Camellia Drive, Birmingham, AL 35213; Endowment board manages Endowment Fund; Chairman of the Board; 10/01/2021; 5 Hours per Week; During Securities Trading Hours; Not Investment-Related. 5. Alabama Symphony Orchestra Board; 101 Camellia Drive, Birmingham, AL 35213; Support and guide the Alabama Symphony Orchestra; Board Member; Participate at Board Meetings; 01/03/2022; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 6. Canterbury United Methodist Church; 101 Camellia Drive, Birmingham, AL 35213; Church; Board Member; Attend meetings; 01/20/2022; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-01
  • S66 Uniform Combined State Law Examination
    2004-06-01

View on SEC IAPD

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