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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2020-01-15 |
| TX | RA | APPROVED | 2020-01-10 |
Branch Locations
1420 Neal Street Suite 203, Cookeville, TN 38501 • United States
3102 West End Avenue Suite 700, Nashville, TN 37203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Cookeville | TN | 03/2014 | 01/2020 |
| Stifel Nicolaus & Co Inc. | Cookevile | TN | 01/2020 | Present |
1. East Tennessee Historical Society; 601 S Gay Street Knoxville TN 37902; Non profit organization who's mission is to preserve and promote the history of Tennessee; Serve on an advisory board that gathers to make decisions relative to the financial health and well being of the organization; Serve on an advisory board that gathers to make decisions relative to various financial operations; 11/01/2024; 20 hrs/year; Not during security trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-29 |
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