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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-12-23 |
| TX | RA | APPROVED_RES | 2009-10-16 |
Branch Locations
3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Rochester | MN | 10/2009 | Present |
1. The Landings Association; 15525 Landings Ave Spirit Lake IA 51360; The Landings Association is a Homeowners Association created to govern the 66 homes that are on the north end of West Okoboji; Bookkeeper duties- entering expenses & dues payments in quick books; affiliation started 01/01/2014; 10.0 hours per month; during securities trading hours; not investment-related. 2. Folwell Ridge Homeowners Association; 475 22nd AVE SW Rochester MN 55902; Homeowners Association; I will be a general Board member starting January 1, 2025; Attend the quarter Board meetings, help with adherence to the bylaws & declarations of the association; 10/01/2024; 2 hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-30 |
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