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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-17 |
| TX | RA | APPROVED_RES | 2025-06-17 |
Branch Locations
1000 Town Center Dr. Suite 450, Oxnard, CA 93030 • United States
15303 Ventura Blvd. Suite 1520, Sherman Oaks, CA 91403 • United States
2121 Avenue Of The Stars (Fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067 • 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Los Angeles | CA | 04/2003 | 06/2025 |
| Stifel, Nicolaus & Company, Incorporated | Sherman Oaks | CA | 06/2025 | Present |
1. Fulfillment Fund; 1150 S. Olive Street Los Angeles, CA 90015; non-profit; Board Member; board recruitment, advancement; 01/01/2003; 10hrs/mth; Not during securities trading hours; Not investment related 2. Shadow Ranch Partners; 4219 Bluebell Ave Studio City, CA 91604; Partnership used to make various investments; Partner; Making Investments; 12/08/2020; 1 hr/month; Not during securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-08-04 |
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