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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-03-01
  • TX RA
    APPROVED
    Since 2019-03-01

Branch Locations

805 Las Cimas Parkway Suite 230, Austin, TX 78746 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin TX 10/2009 02/2019
Bank Of America, Na Austin TX 01/2010 02/2019
Stifel Nicolaus & Co Inc Austin TX 03/2019 Present
Previous Registrations
Other Businesses

1. Pflugerville Area Youth Soccer League; 800 South Heatherwilde Blvd Pflugerville TX 78660; Non Profit Soccer Club; Executive in charge of overseeing the administration of the "select" soccer program; communication and administration with three age group VP's, and parent facing communication throughout the year; 07/01/2024; 1.00hr/day; During Securities Trading Hours; Not Investment-Related 2. South Texas Soccer Referees; 1105 N Loop 1604 W Ste 108-299 San Antonio TX 78248; It is a non profit that supports the Soccer Referee community in the south Texas; Referee; covering games on the weekends we host matches and need help with referee coverage; 11/06/2023; 2.00hrs/week; Not During Securities Trading Hours; Not Investment-Related. 3. DJHopp LLC; 20105 Clare Iland Bend Pflugerville TX 78660; It is an LLC for a private security transaction; I am the managing partner of the LLC. Reporting, tax prep; This is simply an LLC for investment purposes. I am responsible for keeping track of the bank account, and get information to the CPA for Tax Prep ;10/01/2020; 2.00hrs/year; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-20
S63 Uniform Securities Agent State Law Examination 1996-01-10
  • S65 Uniform Investment Adviser Law Examination
    2000-10-20
  • S63 Uniform Securities Agent State Law Examination
    1996-01-10
Other Names
  • Grayson Glenn Hopper

View on SEC IAPD

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