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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-06-20 |
| WA | RA | APPROVED | 2019-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets , Llc | Tacoma | WA | 03/2008 | 06/2019 |
| City National Bank | Tacoma | WA | 03/2018 | 06/2019 |
| Stifel Nicolaus & Co Inc | Tacoma | WA | 06/2019 | Present |
1. Oyster Farming; Hood Canal, Belfair, WA 98528; Owner of property; I own a property on a beach where oysters grow, they are harvested by a 3rd party; 08/08/2022; 1 Hour per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-18 |
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