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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-31 |
| TX | RA | APPROVED | 2023-07-31 |
Branch Locations
31 W. Stuart Avenue Suite 200, Redlands, CA 92374 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Redlands | CA | 01/1986 | 07/2023 |
| Stifel, Nicolaus & Company, Incorporated | Redlands | CA | 07/2023 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-04-02 |
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