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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-02-14 |
| FL | RA | APPROVED | 2007-07-31 |
Branch Locations
2650 North Military Trail Suite 400, Boca Raton, FL 33431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Boca Raton | FL | 07/2007 | Present |
1. FINRA; FINANCIAL INDUSTRY REGULATORY AUTHORITY;BOCA RATON FL; FINRA ARBITRATOR; HEAR AND DECIDE THE DISPUTES PRESENTED BY THE PARTIES; AFFILIATION STARTED 11/17/2014; 24 HOURS PER YEAR; DURING SECURITIES TRADING HOURS. 2. Boca cove; 1123 Boca cove lane highland Beach FL 33487; member of the grievance committee; member of committee; decide on community issues and fines; 06/19/2024; 2.00hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-18 |
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