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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-04-02 |
Branch Locations
2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Clayton | MO | 12/1995 | 03/2018 |
| Stifel Nicolaus & Co Inc | Dallas | TX | 04/2018 | Present |
1. FSU Foundation Board of Trustees; 325 West College Ave Tallahassee, FL 32301; Foundation; Trustee; Represent the University to fellow graduates and assist Foundation employees on business practices; 6/1/2022; 8 Hours per Month; During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-07 |
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