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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-06-21 |
| PA | RA | APPROVED | 2020-12-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwest Savings Bank | St. Marys | PA | 01/1996 | 08/2020 |
| Northwest Advisors, Inc. | St. Mary'S | PA | 10/2011 | 12/2018 |
| Cetera Investment Services Llc | St.CLoud | MN | 12/2013 | 12/2018 |
| Stifel, Nicolaus & Company, Incorporated | St. Marys | PA | 08/2020 | Present |
1. St Mary's Rotary Club; 170 Straub Ave, St Mary's PA 15857; Local Rotary Club of Rotary International; Treasurer; 5/1/98; 5 hr/mo; Not during securities trading hours; Not investment related. 2. Project Gifts for Elk County; 100 Depot Street, St. Mary's, PA 15857; Treasurer; 11/1/2005; 5 hr/qtr; Not during securities trading hours; Not Investment Related. 3. St. Mary's Ambulance Service; 773 Johnsonburg Road, St. Mary's, PA 15857; Board Member; 2/21/19; 4 hr/qtr; Not during securities trading hours; Not investment related. 3. Area Transportation Authority of North Central Pennsylvania; 44 Transportation Center Johnsonburg, PA 15845; It is the mission of the Area Transportation Authority to provide safe, convenient, and affordable transportation to residents; Board member, representing Elk County; Quarterly Board meetings & local oversight to organization; 02/27/2026; 50hrs/yr; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 2014-04-08 |
| S65 | Uniform Investment Adviser Law Examination | 2011-06-10 |
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