Best Investors Account Sign in
Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2003-11-14
  • TX RA
    APPROVED
    Since 2003-11-14

Branch Locations

2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • 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 & Co., Inc. Dallas TX 09/2001 Present
  • 09/2001 → Present
    Stifel, Nicolaus & Co., Inc.
    Dallas, TX
Other Businesses

1. The Texas Neurofibromatosis Foundation; 511 John Carpenter Freeway, Ste. 500, Irving, TX 75062; Meeting the needs of our constituents in Texas by providing comfort, support, education, advocacy, and funding of research; committee member for the foundation's signature event, Dining Out in Dallas - Battle of the Chefs; To solicit Dallas-area fine dining establishments to donate a Dinner for Ten to our unique Silent Auction; 01/01/2024; 2 Hours per Month; During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-11-13
S63 Uniform Securities Agent State Law Examination 1983-09-21
  • S65 Uniform Investment Adviser Law Examination
    2003-11-13
  • S63 Uniform Securities Agent State Law Examination
    1983-09-21

View on SEC IAPD

More in Dallas, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor