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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-23 |
| NY | RA | APPROVED | 2021-05-26 |
| PA | RA | APPROVED | 2015-12-04 |
| TX | RA | APPROVED | 2015-12-04 |
Branch Locations
3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410 • United States
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Palm Beach Gardens | FL | 12/2015 | Present |
1. Baruch College Fund; One Bernard Baruch Way New York NY 10010; Non profit for Baruch College; Board of Trustees, Trustee Advisory; 01/02/2006; 1 hour per year; not during securities trading hours; not investment related. 2. MARTIN D SHAFIROFF & JEAN SHAFIROFF FOUNDATION; 635 PARK NEW YORK NY 10065; TO MAKE CHARITABLE CONTRIBUTIONS; TRUSTEE; WRITES CHECKS, WIRES, INVESTMENTS; 12/22/1986; 2 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 3. SHAFIROFF ENTERPRISES LLC; 635 PARK AVE, 5TH FL NEW YORK NY 10065; FOR PRIVATE EQUITY INVESTMENTS; MANAGER; MANAGING LLC INVESTMENTS; 11/27/2012; 2 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 4. Southampton Animal Shelter; 102 Old Riverhead Road, Hampton Bays, NY 11946; Animal Shelter; Board of Directors; 01/01/2018; 3 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-27 |
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