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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-11-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Barrington | IL | 10/2008 | 11/2019 |
| Morgan Stanley Smith Barney | Barrington | IL | 06/2009 | 11/2019 |
| Stifel Nicolaus & Co Inc | Barrington | IL | 11/2019 | Present |
1. RENTAL PROPERTY; 1904 Sleepy Hollow Rd Sleepy Hollow IL 60118; Owner; 4/15/08; 0 hr/day; Not During Securities Trading Hours; Investment-Related. 2. Rental Home; 1904 Sleepy Hollow Rd Sleepy Hollow, IL 60118; Owner; Maintenance, income, and taxes; 08/15/2001; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. Sleepy Hollow Rental Home; 1904 Sleepy Hollow Road, Sleepy Hollow, IL 60118; Home Rental; Owner; Management upkeep of property; 08/15/2002; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-19 |
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