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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 2020-11-04
  • TX RA
    APPROVED
    Since 2020-11-04

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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
Bank Of America, Na Dallas TX 09/2009 10/2020
Stifel Nicolaus & Co Inc Dallas TX 10/2020 Present
  • 09/2009 → 10/2020
    Bank Of America, Na
    Dallas, TX
  • 10/2020 → Present
    Stifel Nicolaus & Co Inc
    Dallas, TX
Previous Registrations
Other Businesses

1. Rental Property; 1205 Mill Valley, Plano, TX 75075; Duplex; Owner/Landlord; Collect rent and fix things; 12/01/1993; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Rental Property; 5034 Alcott St, Dallas, TX 75206; Rental Property; Owner/Landlord; 01/01/2003; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. Next Level Sports Group, Dallas, TX 75243; Baseball teams and training; Investor/Co-Owner; Coach; 09/05/2018; 3 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 4. Bob Carpenter Real Estate LLC; 2406 Auburn Ave, Dallas, TX 75214; 13 residential rental properties; Co-Owner; Submit payroll and tax docs; 02/10/2020; 2 Hours per Month; Not During Securities Trading Hours; Investment-Related. 5. Patterson Family Ranch LLC; 8750 E FM 837, Palestine, TX; Hunt and harvest trees; Co-Owner; 11/11/2020; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 6. Money Ball LLC; 2406 Auburn Ave, Dallas, TX 75214; Owns stake in Big League Dreams; Passive Investor; 12/30/2021; 0 Hours per Month; Not During Securities Trading Hours; Investment-Related. 7. Sheepdog Cricket LLC; 2406 Auburn Ave Dallas TX 75214; To Invest in Real Estate. The first venture will be a $1mm investment into Samvana Sports LLC; Manager; Invest in Real Estate; 10/28/2024; 1 hr/quarter; Not During Securities Trading Hours; Investment-Related 8. Rental Property; 264 Sunrise Port Aransas TX 78373; Rental Property; Beach house in Port A we will begin renting in April; 03/19/2025; 2 hrs/year; Not during security trading hours; Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-31
S63 Uniform Securities Agent State Law Examination 1996-01-30
  • S65 Uniform Investment Adviser Law Examination
    1996-01-31
  • S63 Uniform Securities Agent State Law Examination
    1996-01-30

View on SEC IAPD

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