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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2015-07-07
  • GA RA
    APPROVED
    Since 2015-07-07

Branch Locations

33 Bull Street Suite 200, Savannah, GA 31401 • 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
Sterne, Agee & Leach, Inc. Savannah GA 09/1991 Present
Stifel, Nicolaus & Company, Incorporated Savannah GA 07/2015 Present
Stifel, Nicolaus & Company, Incorporated Savannah GA 07/2015 Present
Previous Registrations
  • 2005-03-15 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2003-04-25 → 2005-12-20
    Sterne, Agee & Leach, Inc.
    Savannah, GA
    Savannah, GA
Other Businesses

1) ALIDA HARPER FOWLKES TRUST; 230 BARNARD STREET, SAVANNAH, GA 31401; NON-PROFIT MUSEUM; TRUSTEE, FINANCE COMMITTEE MEMBER; IN PERSON MEETINGS TWICE A YEAR AND QUARTERLY CONFERENCE CALLS; 2010; 1 HR/MONTH; NON-INVESTMENT RELATED. 2) MARTIN FAMILY LIMITED PARTNERSHIP; 6 ROCKWELL AVE SOUTH, SAVANNAH, GA 31419; MANAGE INVESTMENTS IN STOCKS, BONDS AND REAL ESTATE; CO-MANAGER/PARTNER; MANAGER; 11/2003; 5 HRS/MONTH INVESTMENT RELATED. 3. Beaulieu LLC; 6 South Rockwell Avenue, Savannah, GA 31419; Family home to start generating business income as a location site; Partner; Assist in maintaining property and identifying income opportunities; 02/07/2020; 5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 4. 224 Liberty LLC; 6 South Rockwell Ave, Savannah, GA 31419; Vacant land; 1/5 owner in approximately acres of undeveloped land; 01/26/2021; 1 Hour per Year; Not During Securities Trading Hours; Investment-Related. 5. SNAFU, LLC: 6 South Rockwell Ave, Savannah, GA 31419; Family secondary home; 1/3 Owner; 01/01/2016; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1984-09-25
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1984-09-25

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