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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-19
MO RA APPROVED 2007-04-30
  • TX RA
    APPROVED_RES
    Since 2023-05-19
  • MO RA
    APPROVED
    Since 2007-04-30

Branch Locations

8182 Maryland Ave. 10Th Floor, Clayton, MO 63105 • 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
Stifel, Nicolaus & Company, Incorporated St. Louis MO 04/2007 Present
Previous Registrations
Other Businesses

1. Trailnet; 317 N 11th St #302, St Louis, MO 63101; Non-profit fostering safer urban environment for cycling and walking; Board Member; Participate in board decisions; 12/31/2020; 3 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-03-14
S63 Uniform Securities Agent State Law Examination 1985-08-08
  • S65 Uniform Investment Adviser Law Examination
    2002-03-14
  • S63 Uniform Securities Agent State Law Examination
    1985-08-08

View on SEC IAPD

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