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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-12-07 |
| FL | RA | APPROVED | 2022-01-10 |
| TX | RA | APPROVED_RES | 2003-04-25 |
| MO | RA | APPROVED | 1995-10-31 |
Branch Locations
7733 Forsyth Blvd. Suite 1000, Clayton, MO 63105 • 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 | Clayton | MO | 11/1988 | Present |
REGIONAL ARTS COMMISSION; 6128 Delmar Blvd St Louis MO 63112; Supporting the arts in St. Louis; Executive Committee; attends 3 meetings per year; affiliation started 07/01/2016; 15 hours per year; not during securities trading hours; not investment-related. Opera Theatre St Louis; 130 Edgar Rd, Saint Louis, MO 63119; Opera production; board of directors; affiliation started 06/01/2014; 3 hours per quarter; not during securities trading hours; not investment related. Tennessee Williams Festival; MO; theatre/artistic events; Board Member; advisory board; 11/01/2017; 24.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related Sun River Healthcare formerly Hudson River Healthcare; 1200 Brown St Peekskill NY 10566; healthcare; Vice Chairman, Board Member; Board responsibilities; 01/22/2019; 2.00 Hours Per Month; not during securities trading hours; Not Investment-Related. Regional Arts Commission; 6128 Delmar Blvd, St Louis, MO 63112; To promote, encourage, and foster art and culture in St Louis County; Treasurer/finance committee; Work with CFO regarding accounting; 01/01/2016; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. Regional Arts Commission; 232 N Kingshighway Blvd, St Louis, MO 63108; Promote and encourage the arts and cultural institutions in St Louis; Commissioner/Executive Committee; Advise on selection of non profits funds for funding; 01/03/2011; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1981-06-17 |
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