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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| IL | RA | APPROVED | 2020-12-04 |
| MO | RA | APPROVED | 2017-12-18 |
Branch Locations
One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States
Mark Twain Plaza 1, 101 West Vandalia Street Suite 200, Edwardsville, IL 62025 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Smith Moore & Co | Clayton | MO | 03/2008 | 11/2017 |
| Oppenheimer & Co. Inc | Edwardsville | IL | 12/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-06 |
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