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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 2021-06-04
  • TX RA
    APPROVED
    Since 2021-06-04

Branch Locations

2002 Judson Road Suite 202, Longview, TX 75605 • 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 Longview TX 10/2018 Present
Brown Brothers Harriman & Co Boston MA 05/2007 05/2018
Unemployed Longview MA 06/2018 10/2018
  • 10/2018 → Present
    Stifel Nicolaus
    Longview, TX
  • 05/2007 → 05/2018
    Brown Brothers Harriman & Co
    Boston, MA
  • 06/2018 → 10/2018
    Unemployed
    Longview, MA
Other Businesses

1. Notary Public State of Texas; 2002 Judson Rd Longview TX 75605; Notary; Notary for clients;4/1/19; 1 hr/yr; during securities trading hours; not investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-06-03
S63 Uniform Securities Agent State Law Examination 2020-01-09
  • S65 Uniform Investment Adviser Law Examination
    2021-06-03
  • S63 Uniform Securities Agent State Law Examination
    2020-01-09

View on SEC IAPD

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