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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-07-02 |
| TN | RA | APPROVED | 2026-06-09 |
Branch Locations
1319 Sunset Drive Suite 201, Johnson City, TN 37604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel | Johnson City | TN | 12/2025 | Present |
| Regions Bank | Johnson City | TN | 01/2023 | 12/2025 |
| Regions Mortgage | Johnson City | TN | 07/2021 | 01/2023 |
| Regions Bank | Johnson City | TN | 02/2016 | 07/2021 |
| Academy Sports And Outdoors | Johnson City | TN | 02/2015 | 01/2017 |
1. Notary; 501 Dogwood Dr Kingsport TN 37663; notary services; 04/01/2019; 1 hr/quarter; not during security trading hours; not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2026-02-06 |
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