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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-01-07 |
| TX | RA | APPROVED_RES | 2014-04-10 |
| CA | RA | APPROVED | 2012-09-20 |
Branch Locations
206 East Anapamu Street, Santa Barbara, CA 93101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Santa Barbara | CA | 09/2012 | Present |
1. Doris di Stefano Legacy Foundation; 3905 State Street Suite 7-420 Santa Barbara, CA 93105; The purpose of the Corporation is to further the religious, charitable and educational mission of Christian Science by supportin; Member at large; Meet with the other board members and discuss what requests for funds will be granted and in what amounts; 06/15/2026; 2hrs/qtr; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-15 |
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