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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 1999-02-26
  • MO RA
    APPROVED
    Since 1999-02-26

Branch Locations

8182 Maryland Ave. 10Th Floor, Clayton, MO 63105 • 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
Stifel, Nicolaus & Company, Incorporated Clayton MO 01/1993 Present
Other Businesses

1. Checkmate Holdings LLC; 394 Larimore Valley Dr, Wildwood, MO 63005; Marketing new product, for restaurant/hospitality industry to waiters book; Vice President; Limited passive stake; 01/31/2022; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-15
S63 Uniform Securities Agent State Law Examination 1992-05-04
  • S65 Uniform Investment Adviser Law Examination
    2007-12-15
  • S63 Uniform Securities Agent State Law Examination
    1992-05-04

View on SEC IAPD

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