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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-06 |
| CA | RA | APPROVED | 2009-07-30 |
Branch Locations
5780 Fleet Street, Suite 250, Carlsbad, CA 92008 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Carlsbad | CA | 07/2009 | Present |
1. Artist; 2955 Ocean St, Unit 21, Carlsbad, CA 92008; Art; Owner; 03/15/2021; 10 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-27 |
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