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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-11-13 |
| WA | RA | APPROVED | 2019-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Tacoma | WA | 10/2009 | 06/2019 |
| City National Bank | Tacoma | WA | 09/2016 | 06/2019 |
| Stifel, Nicolaus & Company, Incorporated | Tacoma | WA | 06/2019 | Present |
1. SMITH & SONS;1271 W LOST LAKE RD.SHELTON, WA 98584; General Contracting Company;co-owner;6/25/19;0 hr/day;not during securities trading hours;not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-23 |
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