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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2022-06-21 |
| TX | RA | APPROVED_RES | 2014-09-15 |
Branch Locations
1699 King Street Suite 401, Enfield, CT 06082 • 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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Longmeadow | MA | 05/2009 | Present |
1. Dream Big Basketball LLC; 154 Highland View Dr, Somers, CT 06071; Give basketball lessons and hold basketball training camps; Member; Help prepare paperwork for the accountant; 07/03/2006; 5 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Dallas Safari Club Northeast; 47 Main Street, Unit 613 Old Mystic, CT 06372; conservation of wildlife and wild places. Education about nature.; member of the board of directors; Attend board meetings. Become a member of DSC national. Help with annual Banquet; 07/10/2026; 2hrs/mth; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-13 |
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