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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-26 |
| IN | RA | APPROVED | 2019-02-27 |
Branch Locations
8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Clustrix | San Francisco | CA | 11/2015 | 11/2016 |
| Wso2 | Mountain View | CA | 11/2016 | 01/2019 |
| Stifel Nicolaus | Lafayette | IN | 01/2019 | Present |
1. Community Foundation of Boone County; 102 N Lebanon St, Lebanon, IN 46052; Non-profit org that gives grants to Boone county to support local causes; Volunteer; General feedback and assistance; 12/07/2020; 20 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Community Foundation of Boone County; 102 N Lebanon St, Lebanon, IN 46052; Unite people, organizations, and philanthropy to create a thriving community; Member of the Investment Committee; Ask questions of the investment manager; 05/18/2021; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 3. Community Foundation of Boone County; 102 N Lebanon St, Lebanon, IN 46052; Unite people, organizations, and philanthropy to create a thriving community; Board Member; Assist on the Board; 05/18/2021; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. The Villages of Indiana; 3833 N Meridian St, Indianapolis, IN 46208; Foster care, adoption, family services; Advisory Council Chair/President; Lead the junior board group; 01/03/2022; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 5. The Boone County Community Foundation; 102 N Lebanon St, Lebanon, IN 46052; Granting, scholarships, connecting the local community; Investment committee chair; Lead meetings and keep committee on track; 01/03/2022; 2 Hours per Quarter; During Securities Trading Hours; Not Investment-Related. 6. The Boone County Community Foundation; 102 N Lebanon St, Lebanon, IN 46052; Uniting the community, grants, and scholarships; Member of the Finance Committee; Help determine budget; 02/01/2022; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 7. The Villages of Indiana; 3833 N. Meridian Street Indianapolis, IN 46208; Our Mission To support families and communities to build brighter futures for children, youth, and those who care for them; Foundation Board member; Oversee the management of the Foundation and make sure that it's being managed for the benefit of The Villages; 03/09/2026; 2hrs/wk; Not during securities trading hours; Not investment related 8. The Community Foundation of Boone County; 102 N Lebanon St Suite 200 Lebanon, IN 46052; The provide grants to improve the quality of life in Boone County; Finance Committee Member; Ask questions, provide feedback, understand the finances to better unable good decision making for the board; 02/26/2026; 3hrs/mth; During securities trading hours; Not investment related 9. The Community Foundation of Boone County; 102 N Lebanon St Suite 200 Lebanon, IN 46052; Awarding grants to the community; Board Vice Chair; Ask good questions, remain involved in helping spread the message about the community foundation, help keep the 3rd party investment manager on track, and ensure good use of funds for the benefit of the community; 03/09/2026; 3hrs/wk; Not during securities trading hours; Not investment related 10. The Community Foundation of Boone County; 102 N Lebanon St Suite 200 Lebanon, IN 46052; To provide grants to the community to improve the quality of life in Boone County, Indiana; Investment Committee Chair; To help keep their 3rd party investment manager on track according to the IPS set by the board; 02/26/2026; 3hrs/mth; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-04-04 |
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