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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2019-10-17 |
| TX | RA | APPROVED | 2019-10-17 |
Branch Locations
190 Carondelet Plz Ste 800, Clayton, MO 63105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St Louis | MO | 07/1998 | 10/2019 |
| Wells Fargo Clearing Services Llc | St. Louis | MO | 10/2019 | Present |
PROFESSIONAL LICENSES, NOT INVT RELATED, JEFFERSON CITY, MO, MISSOURI BAR LICENSE, START DATE 10/10/1997, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO ACTIVE DUTIES.; TRUSTEE FOR BUSINESS PARTNERS 3 CHILDREN, INV RELATED, ELLISVILLE, MO, START: 7/1/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; VILLAS OF GRAND GLAIZE HOMEOWNERS ASSOCIATION INC. NOT INV. RELATED; OSAGE BEACH, MO; BOARD MEMBER; HOA; START DATE 8/5/2023; 3 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES ATTEND MEETINGS, DISCUSS ISSUES RELATED TO THE NEIGHBORHOOD. CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, WILDWOOD, MO, START: 10/10/2023, 5 HOURS A MONTH, 0 HOURS DURING TRADING.; CO-TRUSTEE FOR MOTHER'S TRUST FBO NIECE, INV RELATED, ST. LOUIS, MO, START: 9/9/2024, 2 HOURS A MONTH, 0 HOURS DURING TRADING.; CO-TRUSTEE FOR MOTHER'S TRUST FBO NIECE, INV RELATED, ST. LOUIS, MO, START: 9/9/2024, 2 HOURS A MONTH, 0 HOURS DURING TRADING. | VILLAS OF GRAND GLAIZE HOMEOWNERS' ASSOCIATION INC; INV RELATED; OSAGE BEACH, MO; PRESIDENT; 04/2025; 4 HOURS PER MONTH; 0 DURING TRADING; HOA | VILLAS OF GRAND GLAIZE HOMEOWNERS' ASSOCIATION, INC; INV RELATED; OSAGE BEACH, MO; BOARD MEMBER; 05/2025; 3 HOURS PER MONTH; 0 DURING TRADING; HOA FOR VILLA COMMUNITY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-17 |
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