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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2016-02-25 |
Branch Locations
One North Wacker Suite 3400, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Chicago | IL | 02/2016 | Present |
1. St. Augustine's Episcopal Church; 1140 Wilmette Ave Wilmette IL 60091; Religious; buy/sell mutual funds and ETFs and sell stocks received as stock donations; Vestry Member & Treasurer; Financial Budgeting and Endowment Oversight; affiliation started 01/21/2015; 5 hours per month; not during securities trading hours; not investment related. 2. The Diocesan Foundation; 65 E Huron St., Chicago IL 60611; Trustee (member of the Board of Trustees) - Review Asset Allocation, provide adjustment proposals to the asset allocation for the Diocesan common fund; 07/26/2018; 1.00 Hour(s) Per Quarter - not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-19 |
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