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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-01-16 |
| TX | RA | APPROVED_RES | 2019-01-11 |
Branch Locations
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 |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2019 |
| Stifel Nicolaus & Co Inc | Cincinnati | OH | 01/2019 | Present |
1. SOR Cincinnati Area Foundation; 6710 Madison Rd Cincinnati OH 45227; the Foundations purpose is to raise money to provide needed funds for economically disadvantaged kids to attend the school; I would be board member but not an officer; My role will be to bring board experience while focusing on creativity in fund raising efforts; 01/01/2025; 2 hrs/week; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-25 |
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