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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-09-14 |
| TX | RA | APPROVED | 2021-09-13 |
Branch Locations
12800 University Drive Suite 300, Fort Myers, FL 33907 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Fort Myers | FL | 12/2008 | 09/2021 |
| Stifel Nicolaus & Co Inc. | Fort Myers | FL | 09/2021 | Present |
1. The Terraces at Bonita Springs Foundation; 26455 S Tamiami Trail, Bonita Springs, FL 34134; Retirement community (CCRC); Corporate Advisory Board Member; Quarterly CAB Meetings; 05/01/2020; 6 hrs/quarter; During Securities Trading Hours; Not Investment-Related. 2. Freedom Church of SW Florida, Inc, 6300 Techster Blvd Unit 2, Fort Myers, FL 33966; Local Church; Board Member; Attend board meetings; 06/03/2019; Not During Securities Trading Hours; Not Investment-Related. 3. 2177 Barry Drive LLC; 12744 Kedleston Cir; Ft Myers, FL 33912; holds rental property; Manager; 5/13/22; 2hr/mo; Not during Securities Trading Hours; Investment Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-01 |
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