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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-12-15 |
Branch Locations
2850 North Harwood 18Th Floor & 17Th Floor, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Dallas | TX | 03/2014 | 09/2020 |
| Rockefeller Financial Llc | New York | NY | 09/2020 | 12/2021 |
| Stifel Nicolaus & Co Inc | Dallas | TX | 12/2021 | Present |
1. Independent Contractor - Babysitting and pet sitting; Dallas, TX 75205; Families with kids or pets; 01/03/2019; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-17 |
| S65 | Uniform Investment Adviser Law Examination | 1996-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-17 |
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