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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-10-10 |
| TX | RA | APPROVED | 2019-10-10 |
Branch Locations
2731 Nw Potts Court, Bend, OR 97703 • United States
La Quinta, CA • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Bend | OR | 07/2011 | 10/2019 |
| Stifel Nicolaus & Co Inc | Bend | OR | 10/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1982-03-30 |
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