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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-05-12 |
| TX | RA | APPROVED | 2016-05-12 |
Branch Locations
10100 Trinity Parkway Suite 320, Stockton, CA 95219 • 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 | Stockton | CA | 05/2016 | Present |
1. UNIVERSITY OF THE PACIFIC EBERHARDT SCHOOL OF BUSINESS ADVISORY BOARD; 3601 PACIFIC ACE STOCKWON CA 95211; EDUCATION/UNIVERSITY; ADVISORY TO THE SCHOOL OF BUSINESS; ADVISORY; AFFILIATION STARTED 07/05/2005; 10 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 2. LARRY & EMILY WATTS WINERY; 19893 WINDWOOD WOODBRIDGE CA 95258; WINERY; DBA FICTIOUS BUSINESS NAME SO THAT WE CAN USE OUR LABEL; THE WINE IS MADE BY ANOTHER ENTITY, ESTATE CRUSH, WHICH DOES ALL THE WORK. WE HAVE PERIODIC TASTINGS TO MONITOR PROGRESS; 10/31/2017; 5.0 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-02-08 |
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