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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-08-18 |
| WA | RA | APPROVED | 2017-08-18 |
Branch Locations
10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer Asset Management Inc. | New York | NY | 04/2003 | 08/2017 |
| Stifel Nicolaus & Co Inc | Bellevue | WA | 08/2017 | Present |
1. Round Table Racing or possibly another name; 2300 Ron Crockett Drive Auburn, WA 98001; horse racing partnership; 30% owner of this horse only - it hasn't been named yet but you have the info on sire and dam; no duties; 09/19/2025; 1hr/mth; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-02-11 |
| S63 | Uniform Securities Agent State Law Examination | 1982-06-30 |
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