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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-05-03 |
| FL | RA | APPROVED | 2022-04-28 |
| TX | RA | APPROVED | 2022-04-27 |
Branch Locations
100 North Field Drive, Suite 340, Lake Forest, IL 60045 • United States
12800 University Drive Suite 300, Fort Myers, FL 33907 • 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 |
|---|---|---|---|---|
| Bank Of America,Na | Northbrook | IL | 11/2009 | 04/2022 |
| Stifel Nicolaus & Co Inc | Naples | FL | 04/2022 | Present |
1. 401 Lakeside LLC; 17448 Blue Sapphire Dr. Fort Myers FL 33913; A holding company, that holds two Storage units to store my personal belongings; Manager; Maintain paper work and file the annual report; 01/01/2024; 10.00hrs/year; Not during securities trading hours; Not Investment-Related 2. 402 Lakeside LLC; 17448 Blue Sapphire Dr. Fort Myers FL 33913; Holding company that hold LLC for storage unit with personal property; Manager; manage paperwork and file annual report; 01/01/2024; 10.00hrs/year; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-18 |
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