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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2021-07-15
TX RA APPROVED 2021-06-30
  • KY RA
    APPROVED
    Since 2021-07-15
  • TX RA
    APPROVED
    Since 2021-06-30

Branch Locations

400 E Main Avenue Suite 101, Bowling Green, KY 42101 • 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
Wells Fargo Advisors Llc Bowling Green KY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bowling Green KY 11/2016 06/2021
Stifel Nicolaus & Co Inc Bowling Green KY 06/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Bowling Green, KY
  • 11/2016 → 06/2021
    Bowling Green, KY
  • 06/2021 → Present
    Stifel Nicolaus & Co Inc
    Bowling Green, KY
Previous Registrations
Other Businesses

1. Java Properties; 315 Collett Bridge Road, Alvaton, KY 42122; Rental property and land development; Member; Passive Investor; 12/30/2013; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related. 2. WKU Department of Communications Advisory Board; 1906 College Heights Blvd, Bowling Green, KY 42101; Provide general guidance to department; Council Member; Provide sounding board for faculty and students; 01/01/2016; 2 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 3. Difference Makers LLC; 315 Collett Bridge Rd Alvaton KY 42122; Real Estate Investing/Property Management; 1/4 Owner; 4/10/23; 1 hour per month; not during securities trading hours; inv related 4. The Community Foundation of South Central Kentucky; 810 College Street Bowling Green KY 42101; Community Foundation/Non-Profit Organization; Board Member; Attend bi-monthly board meetings; 02/19/2024; 6.00hrs/year; During Securities Trading Hours; Not Investment-Related. 5. WKU Alumni Association Board of Directors; 292 Alumni Ave Bowling Green KY 42101; Volunteer board member on the Alumni Association Board for Western Kentucky University; Volunteer board member; Board participation (meetings); 07/01/2025; 1 hr/month; During security trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-06
S63 Uniform Securities Agent State Law Examination 1993-10-19
  • S65 Uniform Investment Adviser Law Examination
    1997-06-06
  • S63 Uniform Securities Agent State Law Examination
    1993-10-19
Designations

View on SEC IAPD

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