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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-01-07 |
| CA | RA | APPROVED | 2013-07-29 |
Branch Locations
27201 Puerta Real Suite 350, Mission Viejo, CA 92691 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | San Juan Capistrano | CA | 07/2013 | Present |
1. ROTARY INTERNATIONAL; 1560 SHERMAN AVENUE EVANSTON IL 60201; COMMUNITY SERVICE ORGANIZATION; CO-FOUNDER AND PRESIDENT; RUNNING MEETINGS, FINDING VENUE, MEMBERSHIP; 01/13/2016; 10 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 2. San Clemente Rotary Club; San Clemente, CA 92673; Service organization; Member of charity committee; Help leader of committee and club determine which charities to support; 09/15/2021; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 3. San Clemente Rotary Club; San Clemente, CA 92673; Service organization; Youth service chair; Organize student events, create and run fundraisers; 02/01/2016; 4 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2010-10-06 |
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