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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-12-13 |
| IA | RA | APPROVED | 2009-08-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray Inc. | Waterloo | IA | 10/1992 | Present |
| Ubs Financial Services Inc. | Waterloo | IA | 08/2006 | Present |
| Stifel, Nicolaus & Company, Incorporated | Waterloo | IA | 08/2009 | Present |
1. Jonathan and Diane Larson Farm Property; Owner; Farmland he owns; affiliation started 06/01/2003; 0 hours per day; not during securities trading hours; not investment related. 2. Friendship Village Foundation Finance Committee;3720 Village Place Waterloo IA 50702;Non profit retirement community; finance committee member; quarterly meeting to review foundation policy and portfolio;6/12/19;1 hr/qtr; not during securities trading hours; investment related. 3. Friendship Village; 600 Park Lane, Waterloo, IA 50702; Retirement community; Board Member; Helping with planning for the future of the retirement community; 01/27/2022; 2 Hours per Quarter; Not During Securities Trading Hour; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-08 |
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