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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-05-30
  • TX RA
    APPROVED
    Since 2019-05-30

Branch Locations

2245 Texas Drive Building A-2, Suite 290, Sugar Land, TX 77479 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 09/1991 05/2019
Bank Of America, Na Sugar Land TX 09/2009 05/2019
Stifel, Nicolaus & Company, Incorporated(793) Sugar Land TX 05/2019 Present
Previous Registrations
Other Businesses

1. Texas Outdoor Specialties LLC; 503 FM 359 STE 130 #236 Richmond, Texas 77406;Provide Recreational Outdoor Activities For People Interested in Outdoor Activities;partner;outfitter;5/25/2004;48 hr/yr; not during securities trading hours; not investment related. 2. BMBBGK Properties LLC; 503 FM 359 STE 130 #236 Richmond, Texas 77406; Investment Real Estate Holding; Owner; 11/26/2019; 5 Hours Per Month; Not During Securities Trading Hours; Investment Related. 3. MARBAR Holdings LLC; 503 FM 359 STE 130 #236 Richmond, Texas 77406;Holding company for estate planning;Owner;12/19/19; 2 hr/mo; not during securities trading hours; investment related. 4. MARBAR Interests LLC; 503 FM 359 STE 130 #236 Richmond, Texas 77406; Holding Company for subsidiary LLC; General Partner; 04/05/2007; 0 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 5. Notary; 1019 Brazox, Austin , TX 78701; Texas Notary Public; 6/27/2022; 1 Hour per Month; During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-11
S63 Uniform Securities Agent State Law Examination 1991-11-14
  • S65 Uniform Investment Adviser Law Examination
    1995-04-11
  • S63 Uniform Securities Agent State Law Examination
    1991-11-14
Designations

View on SEC IAPD

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