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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2014-02-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Boston | MA | 05/2009 | Present |
1. Ben Franklin Circles; 1395 Lexington Avenue, New York, NY 10128; Organizer/Discussion Leader - Gather member fro a discussion group of Franklin's standards; 08/23/2018; 0.00 Hour(s) Per Day - not during securities trading hours; Not Investment-Related. 2. Writing for Publication; 17 Pickwick Road, Marblehead, MA 01945; Seeking Publication for novel; Creation and distribution; 10/01/2020; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-23 |
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