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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-04-10 |
| ND | RA | APPROVED | 2009-09-11 |
Branch Locations
1400 West Century Avenue P.O.B 1238, 58502-9955, Bismarck, ND 58503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray Inc. | Bismarck | ND | 08/1985 | Present |
| Ubs Financial Services Inc. | Bismarck | ND | 08/2006 | Present |
| Stifel, Nicolaus & Company, Incorporated | Bismarck | ND | 09/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-25 |
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