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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-24 |
| CA | RA | APPROVED | 2020-02-21 |
Branch Locations
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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Mill Valley | CA | 01/2013 | 02/2020 |
| Stifel Nicolaus & Co Inc | San Rafael | CA | 02/2020 | Present |
1. Austin-Marie Collection, 15 Crane Dr, San Anselmo, CA 94960; In the website store, a collection book set, three collection posters, audio tracks of guitars are for sale; Owner of historical guitar collection; maintain the site and order fulfillment when someone orders the collection book or poster; 10/5/22; 2 hr/week; Not During Securities Trading Hours; Not Investment Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-06 |
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