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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2022-01-10 |
| TX | RA | APPROVED_RES | 2018-06-27 |
| NH | RA | APPROVED | 2008-11-10 |
Branch Locations
276 Newport Road Suite 104, New London, NH 03257 • 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 & Co Inc | New London | NH | 10/2008 | Present |
1. Newport Library Arts Center; Main St, Newport, NH, 03773; Library; Board Member; Investment advice; 05/19/2010; 2 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Newport Charitable Fund; Main St, Newport, NH 03773; board of advisors; member; charitable giving advice; 05/19/2010; 5 Hours per Year; Not during securities trading hours; Not Investment-related. 3. PE Enterprises LLC;276 Newport Rd New London NH 03257;Holding Company to purchase Condo Unit; Partner; provide initial funding and collateral;11/12/19; 1 hr/mo; not during securities trading hours; investment related. 4. The Gallery Condominium Owners Association; c/o River Valley Property Maint. - PO Box 66, Windsor, NH 05089; Condo Association for The Gallery building at 276 Newport Rd, New London, NH 03257 - Stifel rents an office in the building; Member -Board of Directors; Vote on improvements and management of office building that I am co-owner of condo units and that Stifel rents office space; 1/1/2024; 2 hrs/qtr; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-10 |
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