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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2018-04-11 |
Branch Locations
Leighton Plaza, 130 South Main Street Suite 110, South Bend, IN 46601 • 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 |
|---|---|---|---|---|
| Oppenheimer & Co | Kalamazoo | MI | 01/2010 | 12/2017 |
| Stifel Nicolaus & Co Inc | Elkhart | IN | 04/2018 | Present |
| Unemployed | Vandalia | MI | 12/2017 | 04/2018 |
1. Studabaker National Museum; 201 Chapin St, South Bend, IN 46601; Museum for education and preservation of Studebaker; Board of Trustee Member; Board Member; 06/01/2020; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-09 |
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