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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-26 |
Branch Locations
2650 North Military Trail Suite 400, Boca Raton, FL 33431 • United States
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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 |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 08/2007 | Present |
1. The water club homeowners association inc; 1233 Beech St Atlantic Beach NY 11509; Board Member; Runs the association; owns a home; affiliation started 07/04/1992; 16 hours per year; not during securities trading hours; not investment-related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1980-12-11 |
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