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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2026-08-20 |
Branch Locations
2800 Princess Anne Street, Fredericksburg, VA 22401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Tampa | FL | 10/2008 | 12/2016 |
| Stifel Nicolaus & Co Inc | Fredericksburg | VA | 01/2017 | 07/2024 |
| Stifel Independent Advisors, Llc | Fredericksburg | VA | 07/2024 | 08/2026 |
| Equitable Advisors, Llc | Fredericksburg | VA | 08/2026 | Present |
1. Caroline St Enterprises, LLC; 913 Caroline St. Fredericksburg VA 22401; LLC that owns the condo I rent to my father; managing member; manage the condo; 01/01/2079; 2.00 Hour(s) Per Month; not during securities trading hours; Investment-Related. 2. 913 Caroline Condo HOA; 913 Caroline St, Fredericksburg, VA 22401; HOA of condo unit; runs the HOA; 8/1/2023; 2hr/month; During Securities Trading Hours; Not Investment Related. 3. Rokeby Farms LLC; 5447 Kings HWY King George VA 22485; I bought an old farmhouse for my primary residence. I rent the fields to a farmer and use an LLC for tax and liability purposes; LLC owner; no duties; 01/07/2025; 0 hrs/day; not during securities trading hours; Investment-Related. 4. Baker Family Enterprises, LLC; 5447 Kings Hwy King George, VA 22485; Owns a commercial building which is rented out; member; own a commercial building, no management duties. file tax return; 01/15/2026; 1hr/qtr; Not during securities trading hours; Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-05 |
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