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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-12-15 |
Branch Locations
520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 01/2012 | 12/2020 |
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 12/2020 | Present |
1. Notary Public Orange County, CA; 2221 Republic Ave, Costa Mesa, CA 92627; Notary; 10/22/2019; 1 Hour per Week; During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-14 |
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