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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-03-25 |
| OH | RA | APPROVED | 2009-09-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Marion | OH | 09/2009 | Present |
1. The Marion Ohio YMCA; 645 Barks Rd E Marion OH 43302; fitness; serves on the investment committee- not a board member; provides input on investment portfolios; affiliation started 12/01/2016; 2.0 hours per month; not during securities trading hours; not investment-related. 2. Turning Point; PO Box 875 Marion, OH 43302; help victims of domestic abuse; Non voting advisor to the Board; provide input and opinion regarding financial and other matters; 08/11/2025; 3hrs/mth; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-16 |
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