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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-10-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Baumont | TX | 07/2013 | 10/2023 |
| Stifel, Nicolaus & Company, Incorporated | Beaumont | TX | 10/2023 | Present |
1.L/H Scholarship Program Inc; 6550 Windsor Parkway Beaumont TX 77706; Granting Scholarships to graduating seniors from Woodrow Wilson High School in Dallas, TX; President/Treasurer; Collect donations and give out scholarship funds; 10/11/2013; 120.00hrs/year; Not during securities trading hours; Not Investment-Related 2. Windsor Park HOA; 6550 Windsor Parkway Beaumont TX 77706; Homeowners association; Treasurer; Collect yearly dues and pay bills; 10/15/2021; 10.00hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-01-30 |
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