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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-10-12 |
| NE | RA | APPROVED | 2017-09-14 |
| IA | RA | APPROVED | 2017-09-07 |
Branch Locations
13120 Pierce Street Suite 200, Omaha, NE 68144 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Omaha | NE | 09/2012 | 09/2017 |
| Raymond James & Associates, Inc. | Omaha | NE | 09/2017 | Present |
(1) Name of Business: Iowa West Foundation Address: 4201 rivers edge pkwy, suite 400, council bluffs, IA, 51501, United States Activity Type: Non profit Position/Title: Board Member Investment Related: Yes Start Date: 01/02/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The Iowa West Foundation reserves one board position for an investment professional who can be the educational "liaison" between the Board and our OCIO, Mercer Investments. This board member does not manage or control any of the investments but does serve as chair of the board's Investment Committee and represents the board in discussions with Mercer and IWF staff about adherence to the board's Investment Strategy.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-11 |
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