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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-02 |
| WA | RA | APPROVED | 2011-09-09 |
Branch Locations
10400 Ne 4Th Street, Suite 2000, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Seattle | WA | 09/2011 | Present |
1. Mount Si Mens Club; 9010 Boalch Ave SE, Snoqualmie, WA 98065; Club that organizes activities of male member golfers; Board Member; Attend meetings, sit on committees, help with operations; 01/03/2022; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-26 |
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