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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2017-06-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Chicago | IL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 06/2017 |
| Stifel Nicolaus & Co Inc | St. Louis | MO | 06/2017 | Present |
1. Dusty Rose Farm LLC; 11150 NE 36 Ave, Anthony, FL 32617; Horse Farm; Passive Owner; 05/01/2022; 0 Hours per Day; Not-During Securities Trading Hours; Investment-Related. 2. United Cerebral Palsy, Heartland; 4645 LaGuardia Drive, St. Louis, MO 63134; Services for disabled people; Board Member; Guide the organization; 08/01/2024; 2 hrs/month; Not-During Securities Trading Hours; Not Investment-Related 3. Grassy Ridge HOA; 1234 Takara Court St. Louis, MO 63131; Home owners association; Treasurer; Collect HOA dues from neighbors, pay HOA bill, report financials to neighbors; 01/01/2026; 1hr/mth; Not during securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-19 |
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