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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-07-30 |
| CA | RA | APPROVED | 2015-01-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Fresno | CA | 01/2015 | Present |
1. WHEELHOUSE COUNTRY BAND; 1283 WEST KEATS AVE FRESNO CA 93711; MUSIC; BAND MANAGER; BASS PLAYER, BUSINESS & PERFORMANCE MANAGER; 2/29/2009; 10 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; Not Investment-Related 2. Wheelhouse Sound & Light; 1283 West Keats Fresno CA 93711; Entertainment / Entertainment Equipment; Owner; Passive Funding; 01/31/2018; 12.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-16 |
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