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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-11-09 |
Branch Locations
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 |
|---|---|---|---|---|
| Bank Of America,Na | Venice | FL | 11/2009 | 11/2018 |
| Stifel Nicolaus & Co Inc | Venice | FL | 10/2020 | Present |
| Unemployed | Venice | FL | 11/2018 | 10/2020 |
1. Anchorage Homeowners Association; 468 Anchorage Drive, Nokomis, FL 34275; Homeowners association for neighborhood; Board Member; Attend annual board meetings; 11/12/2020; 2 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Mission Valley Country Club; 1851 Mission Valley Blvd, Laurel, GA 34272; Country Club; Serve on finance committee; Participate in monthly meetings and occasional committee assignments; 12/21/2020; 2 Hours per Month; During Securities Trading Hours; Not Investment-Related. 3. Church of Redeemer Endowment Fund; 222 South Palm Avenue, Sarasota, FL 34236; Endowment fund for the church; Voting member on the Endowment board; Quarterly meetings with additional meetings; 04/18/2022; 3 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 1980-07-31 |
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