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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-10-18 |
| CA | RA | APPROVED | 2008-08-08 |
Branch Locations
500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596 • United States
14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254 • 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 & Co Inc | Walnut Creek | CA | 08/2008 | Present |
1. Friends of Camp Concord-501(c)3; PO Box 6373, Concord, CA 94524; community service to raise funds to send poor children to summer camp; board member; Assist in organizing annual fundraising golf tournament; 01/30/1998; 35 Hours per Year; Not during securities trading hour; Not Investment-Related. 2. CHARLES REID FOUNDATION;520 Zenith Ridge Drive, Danville, CA 94506; To raise money to feed poor children and give away gifts to them at Christmas; President; Oversee the Annual Christmas party; 7/11/2000; 30 hr/yr; Not During Securities Trading Hours; Not Investment Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-23 |
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