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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2023-05-04
TX RA APPROVED 2023-05-04
  • MO RA
    APPROVED
    Since 2023-05-04
  • TX RA
    APPROVED
    Since 2023-05-04

Branch Locations

2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc St. Louis MO 07/2014 11/2016
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 05/2023
Stifel, Nicolaus & Company, Incorporated Frontenac MO 05/2023 Present
Previous Registrations
Other Businesses

1. World Pediatric Project; 1325 N Warson, St. Louis, MO 63132; Provides medical care for kids around the world who need special care; Golf Committee Member; Assist in the governance of the organization; 04/02/2020; 10 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Oak Hill Academy; 2635 Oak Hill Rd, Mouth of Wilson, VA 24363; Private High School; Board of Trustees - Member; Assist in the governance of the institution; 05/01/2022; 10 Hours per Year; Not during securities trading hours; Not Investment-Related. 3. 3R Demolition and Development LLC; 9826 Waterbury Drive, St Louis, MO 63124; Construction and Real Estate; President; Owner; 11/11/2022; 10 Hours per Month; Not during securities trading hours; Investment-Related. 4. 3R Dudes Ranch, LLC; 9826 Waterbury Drive St. Louis MO 63124; Real Estate and Farm; Managing Member; Owner and manager; 10/11/2024; 5.00hrs/month; Not during securities trading hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-08-01
S63 Uniform Securities Agent State Law Examination 2013-04-15
  • S65 Uniform Investment Adviser Law Examination
    2013-08-01
  • S63 Uniform Securities Agent State Law Examination
    2013-04-15

View on SEC IAPD

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