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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-31 |
| KY | RA | APPROVED | 2018-09-24 |
Branch Locations
600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 07/2016 | 08/2018 |
| Stifel Nicolaus & Co Inc | Louisville | KY | 08/2018 | Present |
1. Resale Business; 8805 Running Fox Cir, Louisville, KY 40291; Reselling business; Owner; Buy and flip items; 02/12/2021; 1 Hour per Day; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-05 |
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