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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2017-02-28 |
| NC | RA | APPROVED | 2017-02-28 |
| TX | RA | APPROVED_RES | 2017-02-28 |
Branch Locations
1620 W. Oak Street Suite 101, Zionsville, IN 46077 • United States
8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City Securities Corporation | Indianapolis | IN | 02/2009 | 02/2017 |
| Stifel, Nicolaus & Company, Incorporated | Zionsville | IN | 02/2017 | Present |
1. RL Turner Construction; 1000 W Oak Street Zionsville IN 46077; Construction; Board Member; affiliation started 01/01/2014; 10.0 hours per year; during securities trading hours; owner is a client; not investment-related. 2. Third Party Trustee - Non Family Trust 3. Carolina Hoosier Properties, LLC; 7805 N Creek Road Thorntown, IN 46071; Personal LLC for family lake; President; Owner; 05/01/2019; 0 Hours per day; Not During Securities trading Hours; Investment related. 4. Ulen Country Club; 100 Country Club Drive, Lebanon, IN 46052; Golf and social club; Finance Committee Member; Oversee financials with the committee; 01/03/2022; 10 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-24 |
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