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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-26 |
| TX | RA | APPROVED | 2018-12-20 |
Branch Locations
122 State Street, First Floor, Binghamton, NY 13901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Binghamton | NY | 02/2016 | 12/2018 |
| Bank Of America, N.A. | Binghamton | NY | 03/2016 | 12/2018 |
| Stifel, Nicolaus & Company, Incorporated | Binghamton | NY | 12/2018 | Present |
1. Quaker Lake Cottagers Association; P.O. Box 11 Brackney PA 18812; Social club that offers recreational amenities like a clubhouse, tennis courts, playgrounds, and social events; Member of the Investment Committee; Provide input on goals, investment objectives, risk tolerance, and annual cash flow needs for the club to fund capital improvements; 03/03/2025; 3 hrs/quarter; Not during security trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-05 |
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