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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2019-10-09 |
| TX | RA | APPROVED_RES | 2019-10-04 |
Branch Locations
2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ladue | MO | 03/1988 | 09/2019 |
| Bank Of America, Na | Ladue | MO | 12/2009 | 10/2019 |
| Stifel Nicolaus & Co Inc | Clayton | MO | 10/2019 | Present |
1. Home Health Care Foundation;165 N. Meremac St Louis MO 63105; Home Health Care; Committee Member/Board Member;Grant Scholarships and issue grants;1/2/07;1 hr/mo; not during securities trading hours; not investment related. 2. SLU School of Nursing; 3525 Caroline Mall St Louis MO 63108;Committee Member; Executive Council and fundraising;10/23/07;10 hr/mo; not during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-04 |
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