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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-04-11 |
| KY | RA | APPROVED | 2006-01-10 |
| IN | RA | APPROVED | 2003-09-25 |
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 |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Louisville | KY | 07/1996 | Present |
1. Buttonbush LLC; 15304 Crystal Springs Way, Louisville, KY 40245; Own property; Pay bills; 01/31/2022; 5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 2. St Xavier High School Alumni Association; 1609 Poplar Level Rd, Louisville, KY 40217; Catholic High School; Board of Directors; Meetings to connect alumni to school; 02/22/2022; 4 Hours per Month; During Securities Trading Hours; Not Investment-Related. 3. Norton Children's Hospital Foundation; 4965 US Hwy 42, Suite 100 Louisville, KY 40222; The Norton Children's Hospital Foundation is the philanthropic arm of Nort Children's hospital; Board Member; Participate in long range planning and fundraising discussions; 04/01/2026; 2hrs/mth; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-09 |
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