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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2009-09-11
TX RA APPROVED_RES 2009-09-11
  • CO RA
    APPROVED
    Since 2009-09-11
  • TX RA
    APPROVED_RES
    Since 2009-09-11

Branch Locations

119 West Fifth Street, Pueblo, CO 81003-3161 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Pueblo CO 09/2009 Present
Previous Registrations
Other Businesses

1. Silver Creek Lakes HOA; Silver Creek Lakes Poncha Springs CO 81242; President Board Member; Property maintenance & upkeep; 05/25/2000; 60 hours per year; not during securities trading hours; not inv related 2. St. Charles River Estates Property Owners Association, Inc.; P.O. Box B16 Pueblo, CO 81004; This is a HOA which I reside in as my primary residence.; Standard HOA duties of a Secretary; taking meeting minutes for the Board; 01/16/2024; 12.00 hrs/year; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1979-10-24
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1979-10-24

View on SEC IAPD

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