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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2016-02-26
TX RA APPROVED 2016-02-26
  • IL RA
    APPROVED
    Since 2016-02-26
  • TX RA
    APPROVED
    Since 2016-02-26

Branch Locations

3201 W White Oaks Drive Suite 102, Springfield, IL 62704 • 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 & Company, Incorporated Springfield IL 03/2012 Present
Previous Registrations
  • 2001-01-16 → 2008-01-15
    A. G. Edwards & Sons, Inc.
    Springfield, IL
    Springfield, IL
Other Businesses

1.Williamsville IL Planning Commission; West Main St, Williamsville, IL 62693; Village Zoning Issues; Member; review village development applications; 01/01/2010; 2 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. The entity is family farm acreage my siblings and I inherited from our mother: 376 800th Ave Elkhart IL 62634; family grain farm acreage; am a 1/6 owner of family farm ground as a passive holder. One of my brothers operates the farm. I receive cash rent from the operator; passive owner of the farm acreage; 12/15/2018; 0.00hrs/year; Not during securities trading hours; investment-related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-08-04
  • S63 Uniform Securities Agent State Law Examination
    1989-08-04
Designations

View on SEC IAPD

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