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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beaumont | TX | 07/2016 | 08/2023 |
| Bank Of America, N.A. | Beaumont | TX | 12/2016 | 08/2023 |
| Stifel, Nicolaus & Company, Incorporated | Beaumont | TX | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2013-01-31 |
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