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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2016-11-16 |
| TX | RA | APPROVED_RES | 2016-11-14 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Sarasota | FL | 10/2012 | 11/2016 |
| Stifel Nicolaus & Co Inc | Sarasota | FL | 11/2016 | Present |
1. Country Club Shores Civic Association; P.O. BOX 8541 Longboat Key, FL 34228; President of the home owners association; president of the association; preside over board meetings, help enforce HOA rules, main point of contact for homeowners; 04/01/2025; 3hrs/mth; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-19 |
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