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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-30 |
| 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. Rental Property; 5305 N Court St Ruston WA 98407;owner;collect rents, pay rental expenses;1/1/01;1 hr/mo; not during securities trading hours; investment related. 2. City of Ruston;5117 N. Winnifred St Ruston WA 98407;Municipality;Council Member;1/1/13; 5 hr/mo;not during securities trading hours;not investment related. 3. Notary Public;5307 N. Court St Ruston WA 98407;Notarize client documents;1/1/03; 2 hr/yr; during securities trading hours; Not Investment related. 4. Humane Society; 2608 Center St Tacoma, WA 98409; Capital Campaign study session; assigning with brainstorming and being on committee to help raise funds for future new building; conference calls, brainstorming zoom sessions; 08/22/2022; 1 hr/month; not during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-05 |
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