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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 2020-08-26
AL RA APPROVED 2012-05-07
  • TX RA
    APPROVED_RES
    Since 2020-08-26
  • AL RA
    APPROVED
    Since 2012-05-07

Branch Locations

2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117 • 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 Montgomery AL 05/2012 Present
Previous Registrations
  • 2005-11-28 → 2012-05-16
    Intl Advisory Consultants Inc.
    Birmingham, AL
Other Businesses

1. Hance Mill Road Farm, LLC; Montgomery AL 36105; Family Farm LLC; 25% Owner of Family Farm; Help in maintenance of said property; 1/1/2016; 0.0 hours per day; not during securities trading hours; Investment-Related 2. Druids Charity Club, Inc.; 2465 Gunster Road, Montgomery, AL 36111; non-profit organization consisting of a coalition of like-minded mid-30's folks; volunteer; help raise money through sponsorships/ticket sales for the event in August "Hogs Days of Summer"; 02/20/2019; 2.00 Hour(s) Per Week; Not during securities trading hours; Not Investment-Related 3. Wynlakes HOA; 8650 Minnie Brown Road Suite 114, Montgomery, AL 36117; Represent district 1 of neighborhood; Vice President of the Board & Representative of District 1; Assist the President of the Board as VP and as Rep, help oversee the HOA's responsibilities to the residents of Wynlakes; 01/01/2022; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related. 4. Trinity Presbyterian School; 1700 East Trinity Blvd Montgomery AL 36106; Private School for K3-12; Member of Board of Trustees- VP of Board (Member at Large); Continue Serving remaining 3 year term as VP for this year; 06/03/2024; 1hr/mth; Not during securities trading hours; Not Investment-Related 5. MFD 331 LLC; 9772 Ivy Green Drive Montgomery AL 36117; real estate investment; 50% owner of real estate investment property; 10/09/2025; 0 hrs/day; Not during security trading hours; Investment-Related 6. Trinity Presbyterian School Board of Trustees; 1700 East Trinity Blvd Montgomery AL 36106; Private Christian School in Montgomery, AL; Board Committee Chair for Development Committee; raise funds for TPS Annual Fund, Corporate Sponsorships and Endowment Fund; 10/15/2025; 1hr/mth; Not during securities trading hours; Not investment related 7. Trinity Presbyterian School; 1700 East Trinity Blvd Montgomery AL 36106; Private Christian School in Montgomery, AL; Trustee of Endowment Committee for Trinity Presbyterian School; Oversee management of Endowment Funds by Synovus Securities; 10/15/2025; 1hr/qtr; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-14
S63 Uniform Securities Agent State Law Examination 2005-02-28
  • S65 Uniform Investment Adviser Law Examination
    2005-04-14
  • S63 Uniform Securities Agent State Law Examination
    2005-02-28

View on SEC IAPD

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