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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-06-02 |
| MO | RA | APPROVED | 2025-05-31 |
Branch Locations
2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1981-04-27 |
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