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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-03-24 |
| TX | RA | APPROVED | 2009-09-11 |
| WI | RA | APPROVED | 2009-09-11 |
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 |
|---|---|---|---|---|
| Ubs Financial Servces | La Crosse | WI | 04/2007 | Present |
| Stifel, Nicolaus & Company, Incorporated | Lacrosse | WI | 09/2009 | Present |
1.LaCrosse Festivals Inc; #1 Oktoberfest Strasse, P.O. Box 1716, La Crosse, WI 54602-1716; Board member; Pageantry oversight of the organization; 05/24/2006; 3 Hours per Month; Not during securities trading hours; not investment-related. 2. Gateway Area Council B.S.A.; 2600 Quarry Rd, La Crosse, WI 54601; Member of the Board of Directors and the Endowment Committee; Macro oversight of all matters of concern to the council and member for the endowment committee to monitor the actions of the trust company charged with managing the endowment funds; 05/24/1980; 2 Hours per Week; Not during securities trading hours; not investment-related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-29 |
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