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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-31 |
| CA | RA | APPROVED | 2020-01-16 |
Branch Locations
520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual Fund Administration Llc | Glendora | CA | 08/2014 | 06/2018 |
| Morgan Stanley | Santa Ana | CA | 09/2018 | 01/2020 |
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 01/2020 | Present |
1. Japanese American Treaty Centennial Scholarship Fund; 244 S San Pedro St, Ste 410, Los Angeles, CA 90012; Non-Profit Scholarship Fund; Member of the Scholarship Committee & Luncheon Committee; 01/02/2023; 5 Hours per Month; Not during securities trading hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-02 |
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