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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 2018-01-04
MI RA APPROVED 2010-09-28
  • TX RA
    APPROVED_RES
    Since 2018-01-04
  • MI RA
    APPROVED
    Since 2010-09-28

Branch Locations

5181 Cascade Road Se, Grand Rapids, MI 49546 • 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, Nicolaus & Company, Incorporated Grand Rapids MI 01/1988 Present
Other Businesses

1. Spaulding Creek LLC; 5181 Cascade Rd. SE, Grand Rapids, MI 49546; commercial office building; Owner; 02/05/2009; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 2. PDJ LLC; 7974 Parkside Ct., Jenison, MI 49428; property management; Owner; 02/23/2009; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. Board of Directors of the Dutch Reformed Translation Society; 2965 Leonard St NE, Grand Rapids, MI 49525; Non-profit which oversees and finances the translations of books from the Reformation era; Treasurer; Receiving gifts and royalty payments, payment of bills, reporting to semi-annual meetings; 11/18/2020; 3 Horus per Month; During Securities Trading Hours; Not Investment-Related. 4. Akademie Fur Reformatorische Theology; Kepler Strasse 7, Giessen, OT 35390, Germany; theological seminary; member of the board of trustees; attendance, normally over Zoom, of twice yearly board meetings, I am not an officer of the board; 01/01/2024; 5 Hours per Year; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-12
S63 Uniform Securities Agent State Law Examination 1982-09-03
  • S65 Uniform Investment Adviser Law Examination
    1999-07-12
  • S63 Uniform Securities Agent State Law Examination
    1982-09-03

View on SEC IAPD

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