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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2022-09-08 |
| TX | RA | APPROVED | 2022-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lawton | OK | 11/1991 | 09/2022 |
| Bank Of America,Na | Lawton | OK | 11/2009 | 09/2022 |
| Stifel, Nicolaus & Company, Incorporated | Lawton | OK | 09/2022 | Present |
1. Comanche County Memorial Hospital Foundation; 3401 W Gore Blvd Lawton OK 73505; Board Member; attend meetings; 7/1/2009; 1.5 hours per quarter; not during securities trading hours; Investment Related 2. WTF Partnership; 2002 NW Cache Rd Lawton OK 73505; passive investments; Partner; General Business decisions; 11/15/20; 0 hours; not during sec trading hours; Inv Related 3. Arts for All; 425 SW B Ave Lawton OK 73501; Promoting the arts; Funds Distribution Committee Chairman; Oversee budget and allocation of funds to member groups of organization; 9/2/1995; 5 hours/year; during securities trading hours; not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-16 |
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