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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-02-09 |
| VT | RA | APPROVED | 2009-11-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Niclaus & Co Inc | St. Johnsbury | VT | 11/2009 | Present |
1. St. Johnsbury History and Heritage Center; 421 Summer Street St. Johnsbury VT 05819; Historical museum; Development Committee member; Aid in researching grants, finding funding for operations and exhibits; 10/18/2017; 1.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related. 2. St. Johnsbury History and Heritage Center; 421 Summer Street St. Johnsbury VT 05819; Board member; Assist in overseeing organizations goals and objectives; 04/10/2018; 2.00 Hour(s) Per Month - not during securities trading hours; Not Investment-Related 3. Town of St. Johnsbury - Pension Committee; Pomerleau Bldg, 51 Depot Square St. Johnsbury VT 05819; Municipality; Pension Committee member; Working on updating plan document, reviewing Investment Policy Statement, etc.; 03/28/2013; 1.00hr/week; During securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-02 |
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