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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-22 |
| TX | RA | APPROVED_RES | 2021-07-14 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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 |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 08/2007 | Present |
1. Sag Harbor Whalers, Member of HCBL; PO Box 263, Westhampton, NY 11977; Summer baseball program for current college baseball players; Assistant to the GM; Help with game day operations; 04/29/2021; 5 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-31 |
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