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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 2025-06-02
MO RA APPROVED 2025-05-31
  • TX RA
    APPROVED
    Since 2025-06-02
  • MO RA
    APPROVED
    Since 2025-05-31

Branch Locations

2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Frontenac MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Frontenac MO 11/2016 05/2023
Stifel, Nicolaus & Company, Incorporated Frontenac MO 05/2023 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Frontenac, MO
  • 11/2016 → 05/2023
    Wells Fargo Clearing Services, Llc
    Frontenac, MO
  • 05/2023 → Present
    Frontenac, MO
Other Businesses

1. Osage Fund LLC., 31 Upper Ladue Rd St Louis MO 63124; Owner; real estate/land; 2/10/2005; 1 hour per year; not during security trading hours; inv related 2. Evergreen Bancshares; 690 N Service Rd W Wright City MO 63390; Banking; Board Member - Director with no compensation; 08/24/2006; 1.00hr/quarter; Not during securities trading hours; Investment-Related 3. Missouri Botanical Garden; 4344 Shar Blvd, St. Louis, MO 63110; Maintain Gardens; Board Member; Assist with Board of Directors activities; 09/29/2006; 4 Hours per Month; Not during securities trading hours; Not Investment-Related. 4. Deer Creek Club; 9861 Deer Creek Hill, St. Louis, MO 63124; Country Club; Board Member; Manage Country Club; 10/30/2013; 1 Hour per Quarter; Not during securities trading hours; Not Investment-Related. 5. Log Cabin Club; 1140 Log Cabin Ln, St. Louis, MO 63124; Country club; Country Club Management; Board Member; 11/25/2013; 1 Hour per Quarter; Not during securities trading hours; Not Investment-Related. 6. The Muny; 1 Theatre Dr, St. Louis, MO 63112; Entertainment; Board Member; Attend board meetings and assist with decisions; 12/03/2015; 1 Hour per Quarter; Not during securities trading hours; Not Investment-Related. 7. Oceans Fourteen LLC; 31 Upper Ladue Rd St Louis MO 63124; Owner; Real Estate; 11/1/2011; 1 hour per year; not during securities trading hours; Inv Related 8. Valley Investment Syndicate; 13537 Barrett Parkway dr St Louis, MO 63021; Investments; Member Only; Attend meetings no position held; 01/01/2008; 6 hrs/year; Not during securities trading hours; Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-31
S63 Uniform Securities Agent State Law Examination 1981-04-27
  • S65 Uniform Investment Adviser Law Examination
    2025-05-31
  • S63 Uniform Securities Agent State Law Examination
    1981-04-27

View on SEC IAPD

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