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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2024-11-12 |
| MN | RA | APPROVED | 2013-12-09 |
| TX | RA | APPROVED_RES | 2009-10-16 |
Branch Locations
3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • United States
Piedmont, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Rochester | MN | 10/2009 | Present |
1. KAT'S PERFORMANCE HORSES LLC; 1805 92ND NE ROCHESTER MN 55906; BREEDING/SHOWING CUTTING HORSES; OWNER; AFFILIATION STARTED 08/12/2013; 2 HOURS PER DAY; NOT DURING SECURITIES TRADING HOURS. 2. KAT'S Ventures LLC; 1805 92nd St NE, Rochester, MN 55906; LLC to hold plane; Single member; Service aircraft and file documents; 10/11/2021; 10 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-07 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-20 |
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