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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2021-07-19 |
Branch Locations
701 East Lake Street, Wayzata, MN 55391 • United States
5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416 • United States
3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Bloomington | MN | 01/2014 | 07/2021 |
| Stifel Nicolaus & Co Inc | Minneapolis | MN | 07/2021 | Present |
1. Minnesota Hockey; 317 Washington St, Saint Paul, MN 55102; Youth Sports; Hockey Coach; 06/01/2021; 10 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Beltline Hockey Referee Association; 4065 Gettysburg Ave N, New Hope, MN 55427; Youth Hockey Referee Association; Hockey Referee; 10/01/2021; 15 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 3. Trail Smokeeaters; PO Box 313, Trial, BC Canada; Junior A Hockey Team based in British Columbia and affiliated with the BCHL; Regional Scout; Identify players that could have the potential to play in the BCHL; 05/05/2022; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. Orono High School; 795 N. Old Crystal Bay Road, Long Lake, MN 55356; High School; Head Junior Varsity Hockey Coach; 11/01/2022; 20 Hours per Week; Not during securities trading hours; Not Investmnet-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-20 |
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