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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-14 |
| CA | RA | APPROVED | 2007-10-12 |
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 |
|---|---|---|---|---|
| Stifel Nicolaus | Pasadena | CA | 10/2007 | Present |
Hayes Apartment Building; 5950 Hayes Ave Highland Park CA 90049; Apartment rental; Part Owner; 7/6/1983; 2 hours per month; not during securities trading hours; Inv Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 1981-09-10 |
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