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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-07-14 |
| IN | RA | APPROVED | 2022-07-14 |
| TX | RA | APPROVED | 2022-07-14 |
Branch Locations
8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Indianapolis | IN | 06/2009 | 07/2022 |
| Bank Of America, N.A. | Indianapolis | IN | 11/2009 | 07/2022 |
| Stifel, Nicolaus & Company, Incorporated | Indianapolis | IN | 07/2022 | Present |
1. Vacation rental property; 13575 E. 114th St., Fishers, IN 46037; VRBO Rental on second home; Owner; 12/01/08; 20 Hours per Year; Not during securities trading hours; Investment-Related. 2. Valley Farms; 13575 E. 114th St., Fishers, IN 46037; Family farm that growns corn and soybeans; Owner/Treasurer; Deposit receipts of crop, pay bills, distribution profit to owners, farm is owned by 2 related families; 01/01/2010; 20 Hours per Year; Not during securities trading hours; Investment-Related. 3. Geist Lake Coalition; PO Box 103, Fishers, IN 46038; Steawardship of the lake; Board Member; Planning, coordinating education and cleaning events; 08/01/2000; 20 Hours per Quarter; Not during securities trading hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-01 |
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