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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-06-19 |
| NC | RA | APPROVED | 2017-06-15 |
Branch Locations
629 Green Valley Road Ste 211, Greensboro, NC 27408 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co Inc | Greensboro | NC | 05/2014 | 06/2017 |
| Stifel Nicolaus & Co Inc | Greensboro | NC | 06/2017 | Present |
1. Legal Name: Chris and Lisa Barbee; 18 B Park Village Lane Greensboro NC 27455; Rental Property; landlord/owner; affiliation started 01/01/2009; 5.0 hours per year; not during securities trading hours; not investment-related. This is the information listed for the rental property. Rental 1- 18 b park village lane gbo, NC 27455 Rental 2 -17 d park village lane gbo, NC 27455 Rental 3 ? 413 Keziah Street oak island, NC 28465 Rental 4 - (boat slip) South Harbour Village Marina 4909 Fish Factory Road Southport, NC 28461 2. Greensboro Financial Services Advisory Council; 2609 Glasshouse Rd. Jamestown NC 27282; financial services networking group; board member; one hour a month. general functions of board; grow membership, help organized networking events with members, etc; 07/05/2024; 1.00hr/month; Not During Securities Trading Hours; Not Investment-Related 3. Greensboro Science Center; 4301 lawndale drive greensboro, NC; zoo; board member/ finance committee; normal board duties; 01/01/2010; 6hrs/yr; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-15 |
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