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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-26 |
| TX | RA | APPROVED_RES | 2020-01-24 |
| CT | RA | APPROVED | 2019-02-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Syracuse | NY | 12/2006 | 02/2019 |
| Bank Of America, N.A. | Syracuse | NY | 05/2011 | 02/2019 |
| Stifel Nicolaus & Co Inc | Syracuse | NY | 02/2019 | Present |
1. Multiple Sclerosis Resources of Central New York, Inc.; 6743 Kinne St. East Syracuse NY 13057; Charity to help provide resources to improve the lives of individuals with MS; Member of Board of Directors; General oversight of charity and raise money for charity; 01/22/2024; 2.00hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 1996-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-12 |
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