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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-01-20
  • IL RA
    APPROVED
    Since 2017-01-20

Branch Locations

One North Wacker Suite 3400, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Chicago IL 06/2016 Present
Other Businesses

1. Lakeview Rotary Club; PO Box 1773 Evanston, IL 60204; Volunteer organization; I am the treasurer; Disperse donation and collect dues; 07/01/2025; 1hr/day; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-20
  • S66 Uniform Combined State Law Examination
    2017-01-20

View on SEC IAPD

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