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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2009-10-30 |
| TX | RA | APPROVED | 2009-10-29 |
Branch Locations
27201 Puerta Real Suite 350, Mission Viejo, CA 92691 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co In | San Juan Capistrano | CA | 10/2009 | Present |
1. CALIFORNIA FAMILY LIFE CENTERS; PO BOX HEMET CA 92546; CHARITY SERVING CHILDREN AT RISK; BOARD MEMBER; OVERSIGHT MEMBER OF THE ORGANIZATION; AFFILIATION STARTED 03/01/1988; 6 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-11 |
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