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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-11 |
| TX | RA | APPROVED | 2019-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Jamestown | NY | 01/2009 | 04/2019 |
| Stifel Nicolaus & Co Inc | Jamestown | NY | 04/2019 | Present |
1. Kinzua Brown Trout Club;308 Market St Warren PA 16365;stocking brown trout;Director;raise money to buy and stock brown trout;12/31/12;20.00 Hour(s) Per Year;not during securities trading hours;not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-06-20 |
| S65 | Uniform Investment Adviser Law Examination | 1995-06-20 |
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