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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-27 |
| NY | RA | APPROVED | 2021-06-29 |
| CT | RA | APPROVED | 2019-06-17 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Rochester | NY | 02/2009 | 09/2018 |
| Stifel Nicolaus & Co Inc | Rochester | NY | 10/2018 | Present |
1. Rental Property; 92 North Country Club Drive, Rochester, NY 14618; Owner; 4/15/2011; 1 hour per month; not during securities trading hours; investment-related. 2. The Beamer Hughes Foundation; 353 Widgedon Landing Hilton NY 14468; Raise money to assist Rochesterians impacted by Muscular Dystrophy; Secretary; 01/01/2008; 0.00 Hour(s) Per Day; not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-21 |
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