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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-01 |
Branch Locations
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 | Beaumont | TX | 06/1994 | 08/2023 |
| Bank Of America,Na | Beaumont | TX | 12/2009 | 08/2023 |
| Stifel, Nicolaus & Company, Incorporated | Beaumont | TX | 08/2023 | Present |
1. Hidden Water Ranch, LLC; 3790 Wheat Drive Beaumont, TX 77706; Ranch property - Texas Agricultural. Set up LLC for Ranch/Farm equipment; Manager; prepare tax documents once per year; 01/08/2025; 2hrs/yr; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-31 |
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