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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-06-30 |
Branch Locations
Gateway Plaza, 300 North Lake Avenue Suite 900, Pasadena, CA 91101 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pasadena | CA | 07/1979 | 06/2025 |
| Bank Of America, N.A. | Pasadena | CA | 08/2017 | 06/2025 |
| Stifel | Pasadena | CA | 06/2025 | Present |
1. FINRA; 200 Liberty St Suite 1200 New York NY 10281; Financial Regulation; Arbitrator; Arbitrator for FINRA; 09/29/2023; 10 hrs/year; Not during security trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-04 |
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