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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-12-04 |
Branch Locations
2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | Present |
1.DOROTHEA VENTURES, LLC; 6733 LAKESHORE DRIVE, DALLAS, TX 75214; Private equity investments in start up companies; SOLE manager; Make private equity investments; affiliation started 10/01/2014; 4 HOURS PER MONTH; not during securities trading hours; not investment related. 2. Executive Women of Dallas; 2950 N Harwood Suite 1000, Dallas, TX 75201; Social organization of Women Executives; Board of Directors; Membership Chair; 7/15/2020; 3 Hours per Month; During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-24 |
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