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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-06-19
CA RA APPROVED 2011-01-13
  • TX RA
    APPROVED_RES
    Since 2017-06-19
  • CA RA
    APPROVED
    Since 2011-01-13

Branch Locations

1420 Rocky Ridge Drive, Roseville, CA 95661 • United States

1891 Robinson Street, Oroville, CA 95965 • 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 Nicolual & Co Inc Oroville CA 01/2011 Present
  • 01/2011 → Present
    Stifel Nicolual & Co Inc
    Oroville, CA
Previous Registrations
  • 2008-01-01 → 2011-01-14
    Chico, CA
    Oroville, CA
  • 1997-07-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Oroville, CA
    Oroville, CA
    St. Louis, MO
Other Businesses

1. Numismatist; P.O. Box 528, Oroville, CA 95965; Coin sales; Owner; Research, collect inventory & sales; 10/01/2009; 10 Hours per Week; Not during securities trading hours; Not Investment-Related 2. First Christian Church Corning; Preacher; 1421 Marin Street Corning CA 96021; Church; Preach sermons twice monthly; Sunday worship service; 10/1/2012; 3 Hours per Week; Not during securities trading hours; Not Investment-Related. 3. Oroville Chamber of Commerce; 1789 Montgomery St Oroville CA 95965; Promote business in Oroville area; appointee to Settlement Benefits Fund Committee; reviews data and requests for funds awarded the area from the Lake re-licensing agreement; affiliation started 01/01/2006; 4 hours per month; not during securities trading hours; not investment-related. 4.ORAC, Oroville Recreation Advisory Committee; appointed by Oroville Chamber of Commerce; Oroville 95965; Oroville CA 95965; The committee is responsible for oversight of Recreation in the Lake Oroville FERC 2100 Project; Chairperson; Arrange agenda, run meetings (quarterly) work with the committee on the recreation plans and recommendations the committee has to DWR, the Dept. of Water Res. and FERC; affiliation started 02/01/2011; 4.00 Hour(s) Per Quarter; during security trading hours; Not investment-related. 5. Oroville Sunrise Rotary Club; PO Box 5676, Oroville, CA 95966; International Service Club; Membership Chair; Help retain and recruit members; 06/30/2021; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 6. Oroville Exchange Club; P.O. Box 1046, Oroville, CA 95965; Community Volunteer work; Board Member; 05/31/1982; 2 Hours per Week; During securities trading hours; Not Investment-Related. 7. Timeshare rental of owned Timeshares; 830 Rush Chico CA 95926; Rental of Timeshare weeks if cannot use on the year of use. The rental will cover the maintenance fees; recover Maintenance fees; listing on Redweek; 01/01/2025; 1hr/year; Not During Securities Trading Hours; Investment-Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-07-08
  • S63 Uniform Securities Agent State Law Examination
    1982-07-08

View on SEC IAPD

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