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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-03-01 |
Branch Locations
805 Las Cimas Parkway Suite 230, Austin, TX 78746 • 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 |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-10 |
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