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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2025-02-25 |
| TX | RA | APPROVED | 2017-08-18 |
| WA | RA | APPROVED | 2017-08-18 |
Branch Locations
10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • United States
2731 Nw Potts Court, Bend, OR 97703 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co, Inc. | Seattle | WA | 08/1997 | 08/2017 |
| Stifel Nicolaus & Co Inc | Bellevue | WA | 08/2017 | Present |
1. I AM BOTH CO-TRUSTEE AND HAVE BENEFICIAL INTEREST IN THE TRUST (AS OF MY MOTHERS PASSING ON 9/16/2009.J A SCHMITDT GST IRREVOCABLE FAMILY TRUST, J A SCHMIDT NON GST IRREVOCABLE FAMILY TRUST / I HAVE A BENEFICIAL INTEREST ONLY IN THE FOLLOWING TRUST, I AM NOT A CO-TRUSTEE OF THESE TWO ACCOUNTS. J A LEMON #1 IRREVOCABLE FAMILY TRUST / J D COX #3 IRREVOCABLE FAMILY TRUST
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-03 |
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