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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-08-22 |
| TX | RA | APPROVED | 2025-08-21 |
Branch Locations
821 E Se Loop 323 Suite 400, Tyler, TX 75701 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Painewebber | Tyler | TX | 05/1998 | 08/2025 |
| Ubs Financial Services Inc. | Tyler | TX | 05/1998 | 08/2025 |
| Stifel, Nicolaus & Company, Incorporated | Tyler | TX | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-04 |
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