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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-07-10 |
| TX | RA | APPROVED | 2023-07-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self-Employed Farmer | Larue | OH | 06/1986 | 07/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2006 | 07/2023 |
| Bank Of America, N.A. | Marion | OH | 12/2009 | 07/2023 |
| Stifel, Nicolaus & Company, Incorporated | Marion | OH | 07/2023 | Present |
1. Marion Technical College; 1467 Mt Vernon Avenue Marion, OH 43302; community college; Board of Trustees; board member; 07/01/2018; 2hrs/month; Not during securities trading hours; Not Investment-Related 2. Kit and Lori Fogle Farms; 10225 Miles Road La Rue, OH 43332; 1500 acre grain farm; Full authority over farming operation; all duties; 06/01/1986; 200 hrs/year; During securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-29 |
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