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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2020-03-09 |
| TX | RA | APPROVED_RES | 2020-03-05 |
Branch Locations
321 East 2Nd Street 1St & 2Nd Floor, Rochester, MI 48307 • 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 |
|---|---|---|---|---|
| Bank Of America, Na | Auburn Hills | MI | 12/2009 | 03/2020 |
| Stifel Nicolaus & Co Inc | Bloomfield Hills | MI | 03/2020 | Present |
1. North Star Sail Club; 32041 South River Road, Harrison Township, MI 48045; Sail/Yacht Club; Past Commodore;Ex-official member of Board of Directors; 07/01/2007; 20 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1981-10-06 |
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