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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2016-10-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Cincinnati | OH | 11/2015 | 10/2016 |
| Stifel Nicolaus & Co Inc | Cincinnati | OH | 10/2016 | Present |
1. State of Ohio NOTARY PUBLIC; Notarize documents as needed; affiliation started 10/20/2010; 1 hour per quarter; not during securities trading hours; not investment-related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-23 |
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