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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-10-22
MO RA APPROVED 2007-09-14
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • MO RA
    APPROVED
    Since 2007-09-14

Branch Locations

501 Cherry Street Suite 101, Columbia, MO 65201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Columbia MO 08/2007 Present
Other Businesses

1. Columbia Independent School; 1801 North Stadium Blvd Columbia MO 65202; J-K through 12 education; Trustee; the work of trustees focuses on policies and strategies that are future-focused, and not on daily operations, which are delegated to the head of school (HOS); affiliation started 07/03/2017; 8.0 hours per quarter; during securities trading hours; not investment-related. 2. First Christian Church; North 10th St, Columbia, MO 65201; Church; Trustee; Overseeing the Church portfolio and finances; 07/01/2005; 3 Hours per Quarter; during securities trading hours; not investment-related. 3. Columbia Independent School; 1801 Stadium Blvd Columbia MO 65202; private education from age 3 through grade 12; Serve on the board of trustees and on the governance committee of the board; on the governance committee, we review bylaws if necessary and also find and nominate new members; 07/01/2020; 1 hr/month; During security trading hours; Not Investment-Related 4. Columbia Independent School; 2604 Pebble Creek Ct Columbia MO 65201; private school for ages 3 through 12th grade; Treasurer of the Board; oversee and report on school finances at board level. I will also be the chair of the finance committee; 07/01/2025; 4 hrs/month; During security trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-13
S63 Uniform Securities Agent State Law Examination 1993-06-18
  • S65 Uniform Investment Adviser Law Examination
    2007-09-13
  • S63 Uniform Securities Agent State Law Examination
    1993-06-18
Designations
Other Names
  • Joe Reardon

View on SEC IAPD

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