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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2019-10-04 |
| TX | RA | APPROVED_RES | 2019-10-04 |
Branch Locations
2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States
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 | Ladue | MO | 03/1988 | 09/2019 |
| Bank Of America, Na | Saint Louis | MO | 04/2010 | 10/2019 |
| Stifel Nicolaus & Co Inc | Clayton | MO | 10/2019 | Present |
1. Green Wing Farms; 9851 Litzsinger Rd St. Louis, MO 63124; Farming and hunting; Owner; 01/19/1993; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Trustee of a family Trust
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1983-09-06 |
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