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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-01-30 |
| TX | RA | APPROVED_RES | 2023-01-24 |
| NY | RA | APPROVED | 2023-01-23 |
Branch Locations
3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410 • United States
3 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | New York | NY | 03/2016 | 01/2023 |
| Stifel, Nicolaus & Company, Incorporated | Palm Beach Gardens | FL | 01/2023 | Present |
1. KNOCKERAVEN LLC, 400 N Hwy A1A, St Lucie County, FL 34950; owner; raw land; 11/6/14; 0 hr/day; Not During Securities Trading Hours; Not investment Related. 2. DUN-FARNAGH LLC; Killarney Co, Kerry OT, Ireland; Land Owner; 3/22/17; 0 hr/day; Not During Securities Trading Hours; Not Investment Related. 3. SBM Associates LLC; 550 South Andrews Avenue, Suite 410 Fort Lauderdale FL 33301; Building Development; Passive investor, capital call payments; 08/14/2013; 3.00hrs/year; Not During Securities Trading Hours; Investment Related. 4. Viewmount Manor House; Dublin Road, Longford, Ireland; Hospitality (Hotel, Bar & Restaurant); Investor; Financier; 10/7/22; 2 hr/wk; Not during securities trading hours; Investment Related. 5. Farm land; Dublin Road; Longford, Ireland; Owner; Manage the rental property; 6/3/24; 1 hr/mo; Not during securities trading hours; Investment Related. 6. Morrison Legacy Foundation Inc; 3 Foxhollow Drive East Quogue NY 11942; Foundation; Director; Board member responsibilities; 03/03/2025; 8 hrs/year; Not during security trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-20 |
| S65 | Uniform Investment Adviser Law Examination | 1994-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-08 |
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