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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-01-21 |
| TX | RA | APPROVED | 2021-01-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2016 | 08/2020 |
| Stifel, Nicolaus & Company, Incorporated | Chico | CA | 10/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-22 |
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