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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-08-12 |
Branch Locations
10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • 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 |
|---|---|---|---|---|
| Windward Way Recovery | Costa Mesa | CA | 08/2016 | 12/2016 |
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 02/2017 | 12/2019 |
| Royal Alliance Associates, Inc. | Newport Beach | CA | 05/2020 | 01/2022 |
| Unemployed | Newport Beach | CA | 12/2019 | 05/2020 |
| Seia Llc | Newport Beach | CA | 06/2020 | 01/2022 |
| Money Concepts Capital Corp | Palm Beach Gardens | FL | 05/2023 | 07/2024 |
| Unemployed | Newport Beach | CA | 02/2022 | 05/2023 |
| Stifel, Nicolaus & Company, Incorporated | Bellevue | WA | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-13 |
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