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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2019-06-25 |
| TX | RA | APPROVED | 2019-06-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Umpqua Investments, Inc. | Medford | OR | 10/2007 | 06/2019 |
| Stifel, Nicolaus & Company, Inc. | Medford | OR | 06/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 2010-05-27 |
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