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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-19 |
| NY | RA | APPROVED | 2021-05-26 |
Branch Locations
2515 South Road Suite 202, Poughkeepsie, NY 12601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Poughkeepsie | NY | 05/2011 | 12/2017 |
| Bank Of America, N.A. | Poughkeepsie | NY | 07/2011 | 12/2017 |
| Stifel Nicolaus & Co Inc | Poughkeepsie | NJ | 12/2017 | Present |
1. Town of Plattekill; 1915 Rt 44/55 Modena NY 12548; Local Government; Councilman; Local government; 01/01/2025; 2 hrs/week; Not during security trading hours; Not Investment-Related 2. Hudson Valley Athletic Club; PO Box 74 Cochecton NY 12726; Youth Soccer; Director; Guide and Advise Hudson Valley Soccer Club; 05/19/2025; 4 hrs/year; Not during security trading hours; Not Investment-Related 3. Town of Plattekill Highway Department Union Negotiations; 1915 Rt 44/55 Modena, NY 12548; Two council person(s) are appointed annually to the Highway Negotiations for Unionization; Labor force in highway department looking to unionize; contract negotiations for labor force within highway department; 02/10/2026; 10hrs/yr; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-21 |
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