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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2020-01-30 |
| PA | RA | APPROVED | 2015-12-04 |
| TX | RA | APPROVED_RES | 2015-12-04 |
Branch Locations
4001 Kennett Pike Suite 220, Greenville, DE 19807 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | Present |
1. Legal Name: N/A; Notary Public; Notarizing Signatures; affiliation started 12/07/2015; 0 hours per day; during securities trading hours; Not investment-related. 2. KAU Little League; 873 East Baltimore Pike, PMB 472 Kennett Square PA 19348; Provide a positive youth sports environment for children throughout our local community; Board Member; Assist in maintaining and running the local little league; 01/13/2025; 1 hr/week; Not During Security Trading Hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-28 |
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