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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2020-02-28 |
| MO | RA | APPROVED | 2020-02-28 |
| TX | RA | APPROVED | 2020-02-28 |
Branch Locations
2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States
475 Regency Park Suite 250, O'FAllon, IL 62269 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, Na | Swansea | IL | 12/2009 | 02/2020 |
| Stifel Nicolaus & Co Inc | O'FAllon | IL | 02/2020 | Present |
1. Maxim Family Holdings, LLC; 1125 Greystoke Pl Swansea, IL 62226; It is an LLC that allows me to register property in it to limit the liability; I am the only member of the LLC; I am the only member of the LLC;10/18/2021; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-29 |
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