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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-15 |
Branch Locations
18 Division Street Suite 209 & 211A, Saratoga Springs, NY 12866 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Albany | NY | 03/2008 | 09/2016 |
| City National Bank | Albany | NY | 09/2016 | 10/2021 |
| Stifel Nicolaus & Co Inc | Saratoga Springs | NY | 11/2021 | Present |
1. Wolferts Roost Country Club, inc.; 120 Van Rensselear Blvd Albany NY 12204; Country Club; Member of Finance Committee; Consult on Finances; 09/02/2024; 1 hr/month; Not during securities trading hours; Not Investment-Related 2. The Albany Academies; 135 Academy Road Albany NY 12208; Not for profit school; Member of institutional advancement committee; Advise on fundraising; 12/01/2024; 1 hr/quarter; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-10 |
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