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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2015-07-07 |
Branch Locations
33 Bull Street Suite 200, Savannah, GA 31401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1984-09-25 |
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