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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-09-30 |
| CA | RA | APPROVED | 2009-06-15 |
Branch Locations
3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Westlake Village | CA | 06/2009 | Present |
1. Sevilla family trust; Rental house; 08/22/2014; 0.00 Hour(s) Per Day; not during securities trading hours; Investment-Related. 2. Farralone property; 6601 Farralone, Woodland Hills, CA 91303; Rental Property; 02/01/2021; 2.5 Hours per Month; Not During Securities Hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-30 |
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