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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-02-07 |
Branch Locations
2801 East Camelback Road, Phoenix, AZ 85016 • United States
14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research Inc. | Fairfield | IA | 03/2012 | 01/2022 |
| Legacy Financial Group, Inc. | Tempe | AZ | 03/2012 | 01/2022 |
| Cambridge Investment Research Advisotrs, Inc | Fairfield | IA | 09/2012 | 01/2022 |
| Stifel Nicolaus & Co Inc | Scottsdale | AZ | 01/2022 | Present |
1) RENTAL PROPERTY, 19820 N 13TH AVE #268, PHOENIX, AZ. LANDLORD; MANAGE PROPERTY; 8/4/93; 2 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; INV RELATED 2)Notary Public; 1700 W Washington St Fl 7 Phoenix, AZ 85007; 6/22/20; 2 hours per year; during sec trading hours; Not Inv Related 3) Ebay; 2025 Hamilton Ave San Jose CA 95125; occasionally buy/sell antique/vintage items; 2/11/99; 2 hours per year; not during sec trading hours; not inv related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-01 |
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