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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-05-04 |
| CA | RA | APPROVED | 2014-02-06 |
Branch Locations
804 Main Street Suite B, Osterville, MA 02655 • United States
18 Main Street Extension Suite 303, Plymouth, MA 02360 • United States
20 Custom House Street, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Wellesley Hills | MA | 06/2007 | Present |
1. Wicked Good Cause; PO Box 217A Duxbury, MA 02331; Charitable organization; Board of Directors; Help choose recipients and where funds should go; 01/01/2018; 6 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Duxbury Yacht Club - Junior Tennis Committee; 70 Fairway Lane Duxbury, MA 02332; private club; Junior Tennis Committee Member; Help with kids tennis events at the club; 08/26/2022; 3 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-17 |
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