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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2020-09-16 |
| TX | RA | APPROVED | 2020-09-15 |
Branch Locations
130 Lincoln Avenue 2Nd Floor, Santa Fe, NM 87501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Norfolk | VA | 09/2008 | 09/2020 |
| Stifel, Nicolaus & Company, Incorporated(793) | Santa Fe | NM | 09/2020 | Present |
1. Santa Fe Symphony Orchestra and Chorus; PO Box 9692, Santa Fe, NM 87504; Symphony orchestra; Board of Directors; Fundraising for and governance of organization; 08/06/2021; 12 Horus per Month; During Securities Trading Hours; Not Investment-Related. 2.Santa Fe Symphony Orchestra and Chorus; 301 Griffin Street, Santa Fe, NM 87501; symphony orchestra; Vice President of Development (board member)-- Executive Committee of the entity; board role as leader of development activities; 09/27/2021; 2 hrs/week; During Securities Trading Hours; Not Investment-Related 3. Santa Fe Community Foundation; 501 Halona Street Santa Fe NM 87505; community foundation, nonprofit; board member; board governance; 09/01/2023; 5.00hrs/month; During securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-19 |
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