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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-13
AL RA APPROVED 2015-07-07
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • AL RA
    APPROVED
    Since 2015-07-07

Branch Locations

800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209 • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Previous Registrations
  • 2008-12-19 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
    Birmingham, AL
Other Businesses

1.Diane Stobert Sessions and Paul Trammell Sessions, Jr. Foundation; 3800 Colonade Parkway Ste 500 Birmingham AL 35243; Charitable Foundation supports the Birmingham Audubon Society; He is one of the 5 Directors since July 1999; He reviews the investments and makes distributions; affiliation started 07/29/1999; 6 hours per year; during securities trading hours; not investment related. 2. Cathedral Church of the Advent Endowment Fund; 1901 6th Ave N Birmingham AL 35203; Supports Episcopal Cathedral in Birmingham; He has been a Trustee for more than 25 years. Transactions are made only with approval of the 5 Trustees; He is one of 5 Trustees; He oversees the investments and distributes the income; affiliation started 01/01/1987; 5 horus per quarter; during securities trading hours; not investment related. 3. Webb Fund for Outreach C/O Cathedral Church of the Advent Endowment Fund; 2017 6th Avenue North Birmingham AL 35203; Charitable fund for outreach projects of the Cathedral Church of the Advent (Episcopal); One of 5 Trustees; Reviews the portfolio and recommend investments; affiliation started 10/18/2006; 1 hour per quarter; during securities trading hours; not investment-related. 4. Birmingham Museum of Art Endowment Trust; 2000 Rev. Abraham Woods, Jr. Blvd. Birmingham AL 35203; The Endowment Trust has assets of $20 million plus and distributes about 4% of its principal to the B'ham Museum of Art annually; one of 6 Trustees; along with the other 5 Trustees, oversee the Trust and grant distributions to the Birmingham Museum of Art; 9/20/2017; 2.00 hours per quarter; during securities trading hours; Not Investment-Related 5. Order of First Families of Virginia; 1100 West Leigh Drive Charlottesville, VA 22901; Genealogical Society for people who can trace ancestry to the early settlers of the Virginia Colony; Council Member, Past President; Serve on governing council of organization; 01/01/1988; 10hrs/yr; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-09-08
  • S63 Uniform Securities Agent State Law Examination
    1993-09-08

View on SEC IAPD

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