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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-10-22 |
| OH | RA | APPROVED | 2005-11-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Cincinnati | OH | 11/2005 | Present |
1. WYOMING OHIO CYCLING FOUNDATION; TRUSTEE/PRESIDENT/TREASURER; COLLECT DONATIONS, PAY GRANTS, AND EXPENSES; 5 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS. 2. FINRA arbitrator; 72 Oliver Road, Cincinnati, OH 45215; Security Business Compliance; Arbitrator; 01/03/2000; 0 Hours per Day; During Securities Trading Hours; Investment-related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-19 |
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