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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-03-11 |
| TX | RA | APPROVED | 2019-03-08 |
Branch Locations
100 North Tampa Street Suite 1750, Tampa, FL 33602 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Tampa | FL | 09/2008 | 01/2019 |
| Stifel Nicolaus & Co Inc | Tampa | FL | 03/2019 | Present |
1. Own about 166 acres in Oklahoma, which i lease to my cousin to pasture cattle; rt 23 beaver OK 73932; pasture land; co owned with brother and cousin; 07/31/1962; 0.00hrs/year; Not during securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 1986-05-02 |
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