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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-22 |
| PA | RA | APPROVED | 2012-02-21 |
| TX | RA | APPROVED_RES | 2009-09-25 |
Branch Locations
670 North River Street Suite 400, Wilkes-Barre, PA 18705 • United States
Sunset Beach, NC • 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 | Wilkes-Barre | PA | 09/2009 | Present |
1. ROCKY BOXING CLUB; 329 WEST 3RD STREET BERWICK PA 18603; GYM AND BOXING CLUB (SET UP AS NON-PROFIT TO CATER TO UNDERPRIVILEDGED); VOLUNTEER/ BOARD MEMBER; HELPS COMMUNICATE THE BUSINESS TO THE COMMUNITY; AFFILIATION STARTED 06/01/2016; 2 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 2. LAKE WALTER LAND ASSOCIATION; 2498 SR 3013 PO BOX 158 SPRINGVILLE PA 18844; HOME OWNERS ASSOCIATION; PRESIDENT; HELP OVERSEE LAND ASSOCIATION BUSINESS, SUCH AS MAKING SURE COMMUNITY PROPERTY HAS GRASS CUT; AFFILIATION STARTED 10/01/2015; 2.0 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-12 |
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