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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
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
  • NY RA
    APPROVED
    Since 2023-12-07
  • FL RA
    APPROVED
    Since 2022-01-10
  • TX RA
    APPROVED_RES
    Since 2003-04-25
  • MO RA
    APPROVED
    Since 1995-10-31

Branch Locations

7733 Forsyth Blvd. Suite 1000, Clayton, MO 63105 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Clayton MO 11/1988 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1981-06-17
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1981-06-17

View on SEC IAPD

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