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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-02-23 |
| TN | RA | APPROVED | 2012-06-07 |
Branch Locations
1319 Sunset Drive Suite 201, Johnson City, TN 37604 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Johnson City | TN | 06/2012 | Present |
1. University of Tennessee Washington County Alumni Chapter Board; Alumni Board (Alumni activities); Board Member; coordinates alumni activities in the Tri-City area, Fundraising for the University of Tennessee; affiliation started 03/01/2017; 2.0 hours per week; during securities trading hours; not investment-related. 2. East Tennessee State University College of Business and Technology Dean's Executive Council; 210 Sam Wilson Hall, Johnson City, TN 37604; A council to the Dean of ETSU's Business College; Council Member; Meet to discuss how the local community and ETSU can work together to prepare ETSU Business Graduates to work in our community; 04/03/2023; 10 Hours per Year; During securities trading hours; Not Investment-Related. 3. Southern Appalachian Ronald McDonald House Charities, INC (SARMHC); 418 N. State of Franklin Rd Johnson City TN 37604; Southern Appalachian Ronald McDonald House Charities, Inc. https://www.rmsha.org Providing a "temporary" home away from home for children and families of seriously ill children receiving medical care; Board Member. Serve on the advisory board to the executive director; To meet monthly to collaborate with other board members to provide insight and leadership to meet SARMHC's goal of helping families be together in times of medical need; 01/01/2025; 3 hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1990-02-02 |
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