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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-13 |
| MD | RA | APPROVED | 2013-03-20 |
| CA | RA | APPROVED | 2012-11-09 |
Branch Locations
3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • 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 & Co Inc | Westlake Village | CA | 11/2012 | Present |
Rental Property; 110 Wood River Dr #27 Ketchum ID 83340; rental through a property manager; Owner; 08/29/2018; 0.00 Hour(s) Per Day; not during securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-16 |
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