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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2019-10-04
TX RA APPROVED 2019-10-04
  • MO RA
    APPROVED
    Since 2019-10-04
  • TX RA
    APPROVED
    Since 2019-10-04

Branch Locations

2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ladue MO 02/1989 09/2019
Bank Of America, Na Ladue MO 12/2009 10/2019
Stifel Nicolaus & Co Inc Clayton MO 10/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-22
S63 Uniform Securities Agent State Law Examination 1984-02-01
  • S65 Uniform Investment Adviser Law Examination
    1993-07-22
  • S63 Uniform Securities Agent State Law Examination
    1984-02-01
Designations

View on SEC IAPD

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