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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-07-31
TX RA APPROVED 2023-07-31
  • CA RA
    APPROVED
    Since 2023-07-31
  • TX RA
    APPROVED
    Since 2023-07-31

Branch Locations

31 W. Stuart Avenue Suite 200, Redlands, CA 92374 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Redlands CA 01/1986 07/2023
Stifel, Nicolaus & Company, Incorporated Redlands CA 07/2023 Present
Previous Registrations
Other Businesses

1. Redlands Community Hospital Foundation; 350 Terracina, Redlands, CA 92373; Charitable Foundation that supports the Redlands Community Hospital; Board Member; Oversight for the foundation finances, operations, and giving; 08/18/2019; 2 Hours per Month; Not during securities trading hours; not Investment-Related. 2. Redlands Community Hospital Foundation; 350 Terracina, Redlands, CA 92373; Charitable Foundation that supports the Redlands Community Hospital; Finance Committee Member; Oversight and review of Financial activities of the Foundation; 08/18/2019; 2 Hours per Month; Not during securities trading hours; not Investment-Related. 3. Redlands Community Foundation; PO BOX 8908, Redlands, CA 92375; Charitable Community Foundation that operates DAF's, assists local charities, and provides grants within our community; Board Member; Oversight of Foundations finances, operations, and grants; 08/18/2020; 2 Hours per Month; Not during securities trading hours; not Investment-Related. 4. Redlands Community Foundation; PO BOX 8908, Redlands, CA 92375;Charitable Foundation that operates DAF's , assists other charitable organizations, and makes grants; Finance Committee Member; oversight of foundation finances and operations; 08/18/2020; 2 Hours per Month; Not during securities trading hours; not Investment-Related. 5. Redlands Country Club; 1749 Garden St, Redlands, CA 92373; Private Country Club; Member of Finance Committee; Assist in overseeing club finances; 1/1/2022; 3 hr/mo; Not during securities trading hours; not Investment-Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-04-02
  • S63 Uniform Securities Agent State Law Examination
    1986-04-02
Other Names
  • Kirk M Shelby

View on SEC IAPD

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