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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2013-07-18
TX RA APPROVED 2013-07-18
  • MT RA
    APPROVED
    Since 2013-07-18
  • TX RA
    APPROVED
    Since 2013-07-18

Branch Locations

401 North 31St Street Suite 1610, Billings, MT 59101 • 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 & Co Inc Billings MT 05/2013 Present
  • 05/2013 → Present
    Stifel Nicolaus & Co Inc
    Billings, MT
Previous Registrations
Other Businesses

1. Boys & Girls Clubs of Yellowstone County; 505 Orchard Ln, Billings, MT 59101; Endowment Board member- Quarterly board meetings to review and approve Endowment activity; 06/01/2018; 2.00 Hour(s) Per Quarter; Not during securities trading hours, Not investment-related. 2. Boys and Girls Club of Yellowstone County; 505 Orchard Lane Billings MT 59101;Boys and Girls Club; Member of the Board of Directors; Quarterly Board Meetings; 10/1/18; 2 hr/qtr; Not during securities trading hours; not investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-02
S63 Uniform Securities Agent State Law Examination 1993-07-16
  • S65 Uniform Investment Adviser Law Examination
    1993-10-02
  • S63 Uniform Securities Agent State Law Examination
    1993-07-16
Designations

View on SEC IAPD

Other Firms

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