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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2018-01-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel | Waterloo | IA | 10/2017 | Present |
| Ocwen Loan Servicing | Waterloo | IA | 02/2013 | 09/2017 |
1. Family YMCA of Black Hawk County; 669 S Hackett Rd Waterloo IA 50701; A nonprofit organization dedicated to promoting healthy living, youth development, and social responsibility; Board of Directors Treasurer; Assist with financial oversight, reporting, budgeting, and management; 05/15/2025; 2 hrs/month; During security trading hours; Not Investment-Related 2. Family YMCA of Black Hawk County; 669 S Hackett Rd Waterloo IA 50701; A nonprofit organization dedicated to promoting healthy living, youth development, and social responsibility; Member of the Board of Directors; Assist in providing oversight of the organization, budgeting, and strategic direction; 05/15/2025; 2 hrs/month; During security trading hours; Not Investment-Related 3. Farm; 2471 Fairview Ave Waverly, IA 50677; Farming; growing produce and raising livestock; sole proprietorship with my wife; Laborer, co-manager; 01/26/2026; 20hrs/mth; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-15 |
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